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Browse files- en/5094.html.txt +42 -0
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en/5094.html.txt
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The Rhône (/roʊn/ ROHN, French: [ʁon] (listen); German: Rhone [ˈroːnə] (listen); Walser: Rotten [ˈrotən]; Italian: Rodano [ˈrɔːdano]; Spanish: Ródano [ˈroːdano]; Arpitan: Rôno [ˈʁono]; Occitan: Ròse [ˈrɔze, ˈʀɔze]) is one of the major rivers of Europe and has twice the average discharge of the Loire (which is the longest French river), rising in the Rhône Glacier in the Swiss Alps at the far eastern end of the Swiss canton of Valais, passing through Lake Geneva and running through southeastern France. At Arles, near its mouth on the Mediterranean Sea, the river divides into two branches, known as the Great Rhône (French: le Grand Rhône) and the Little Rhône (le Petit Rhône). The resulting delta constitutes the Camargue region.
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The name Rhone continues the name Latin: Rhodanus (Greek Ῥοδανός Rhodanós) in Greco-Roman geography. The Gaulish name of the river was *Rodonos or *Rotonos (from a PIE root *ret- "to run, roll" frequently found in river names).
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The Greco-Roman as well as the reconstructed Gaulish name is masculine, as is French le Rhône. This form survives in the Spanish/Portuguese and Italian namesakes, el/o Ródano and il Rodano, respectively. German has adopted the French name but given it the feminine gender, die Rhone. The original German adoption of the Latin name was also masculine, der Rotten; it survives only in the Upper Valais (dialectal Rottu).
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In French, the adjective derived from the river is rhodanien, as in le sillon rhodanien (literally "the furrow of the Rhône"), which is the name of the long, straight Saône and Rhône river valleys, a deep cleft running due south to the Mediterranean and separating the Alps from the Massif Central.
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Before railroads and highways were developed, the Rhône was an important inland trade and transportation route, connecting the cities of Arles, Avignon, Valence, Vienne and Lyon to the Mediterranean ports of Fos-sur-Mer, Marseille and Sète. Travelling down the Rhône by barge would take three weeks. By motorized vessel, the trip now takes only three days. The Rhône is classified as a Class V waterway for the 325 km long section from the mouth of the Saône at Lyon to the sea at Port-Saint-Louis-du-Rhône.[1] Upstream from Lyon, a 149 km section of the Rhône was made navigable for small ships up to Seyssel. As of 2017[update], the part between Lyon and Sault-Brénaz is closed for navigation.[2]
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The Saône, which is also canalized, connects the Rhône ports to the cities of Villefranche-sur-Saône, Mâcon and Chalon-sur-Saône. Smaller vessels (up to CEMT class I) can travel further northwest, north and northeast via the Centre-Loire-Briare and Loing Canals to the Seine, via the Canal de la Marne à la Saône (recently often called the "Canal entre Champagne et Bourgogne") to the Marne, via the Canal des Vosges (formerly called the "Canal de l'Est – Branche Sud") to the Moselle and via the Canal du Rhône au Rhin to the Rhine.
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The Rhône is infamous for its strong current when the river carries large quantities of water: current speeds up to 10 kilometres per hour (6 mph) are sometimes reached, particularly in the stretch below the last lock at Vallabrègues and in the relatively narrow first diversion canal south of Lyon. The 12 locks are operated daily from 5:00 a.m. until 9:00 p.m. All operation is centrally controlled from one control centre at Châteauneuf. Commercial barges may navigate during the night hours by authorisation.[3]
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The Rhône rises as the meltwater of the Rhône Glacier in the Valais, in the Swiss Alps, at an altitude of approximately 2,208 metres (7,244 ft).[4] From there it flows south through Gletsch and the Goms, the uppermost, valley region of the Valais before Brig. Shortly before reaching Brig, it receives the waters of the Massa from the Aletsch Glacier. It flows onward through the valley which bears its name and runs initially in a westerly direction about thirty kilometers to Leuk, then southwest about fifty kilometers to Martigny.
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Down as far as Brig, the Rhône is a torrent; it then becomes a great mountain river running southwest through a glacier valley. Between Brig and Martigny, it collects waters mostly from the valleys of the Pennine Alps to the south, whose rivers originate from the large glaciers of the massifs of Monte Rosa, Dom, and Grand Combin.
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At Martigny, where it receives the waters of the Drance on its left bank, the Rhône makes a strong turn towards the north. Heading toward Lake Geneva, the valley narrows, a feature that has long given the Rhône valley strategic importance for the control of the Alpine passes. The Rhône then marks the boundary between the cantons of Valais (left bank) and Vaud (right bank), separating the Valais Chablais and Chablais Vaudois. It enters Lake Geneva near Le Bouveret.
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On a portion of its extent Lake Geneva marks the border between France and Switzerland. On the left bank of Lake Geneva the river receives the river Morge. This river marks the border between France (Haute-Savoie) and Switzerland (Valais). The Morge enters Lake Geneva at Saint-Gingolph, a village on both sides of the border. Then between Évian-les-Bains and Thonon-les-Bains the Dranse enters the lakewhere it left a quite large delta. On the right bank of the lake the Rhône receives the Veveyse, the Venoge, the Aubonne and the Morges besides others.
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Lake Geneva ends in Geneva, where the lake level is maintained by the Seujet dam. The average discharge from Lake Geneva is 251 cubic metres per second (8,900 cu ft/s).[5] In Geneva, the Rhône receives the waters of the Arve from the Mont Blanc. After a course of 290 kilometres (180 mi) the Rhône leaves Switzerland and enters the southern Jura Mountains. It then turns toward the south past the Bourget Lake which it is connected by the Savières channel. At Lyon, which is the biggest city along its course, the Rhône meets its biggest tributary, the Saône. The Saône carries 400 cubic metres per second (14,000 cu ft/s) and the Rhône itself 600 cubic metres per second (21,000 cu ft/s). From the confluence, the Rhône follows the southbound direction of the Saône. Along the Rhône Valley, it is joined on the right (western) bank by the rivers Eyrieux, Ardèche, Cèze, and Gardon coming from the Cévennes mountains; and on the left bank by the rivers Isère, with an average discharge of 350 cubic metres per second (12,000 cu ft/s), Drôme, Ouvèze, and Durance at 188 cubic metres per second (6,600 cu ft/s) from the Alps.
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From Lyon, it flows south, between the Alps and the Massif Central. At Arles, the Rhône divides into two major arms forming the Camargue delta, both branches flowing into the Mediterranean Sea, the delta being termed the Rhône Fan. The larger arm is called the "Grand Rhône", the smaller the "Petit Rhône". The average annual discharge at Arles is 1,710 cubic metres per second (60,000 cu ft/s).[5]
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The Rhône has been an important highway since the times of the Greeks and Romans. It was the main trade route from the Mediterranean to east-central Gaul.[6] As such, it helped convey Greek cultural influences to the western Hallstatt and the later La Tène cultures.[6] Celtic tribes living near the Rhône included the Seduni, Sequani, Segobriges, Allobroges, Segusiavi, Helvetii, Vocontii and Volcae Arecomici.[6]
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Navigation was difficult, as the river suffered from fierce currents, shallows, floods in spring and early summer when the ice was melting, and droughts in late summer. Until the 19th century, passengers travelled in coches d'eau (water coaches) drawn by men or horses, or under sail. Most travelled with a painted cross covered with religious symbols as protection against the hazards of the journey.[7]
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Trade on the upper river used barques du Rhône, sailing barges, 30 by 3.5 metres (98 by 11 ft), with a 75-tonne (165,000 lb) capacity. As many as 50 to 80 horses were employed to haul trains of five to seven craft upstream. Goods would be transshipped at Arles into 23-metre (75 ft) sailing barges called allèges d'Arles for the final run down to the Mediterranean.
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The first experimental steam boat was built at Lyon by Jouffroy d'Abbans in 1783. Regular services were not started until 1829 and they continued until 1952. Steam passenger vessels 80 to 100 metres (260–330 ft) long made up to 20 kilometres per hour (12 mph) and could do the downstream run from Lyon to Arles in a day. Cargo was hauled in bateau-anguilles, boats 157 by 6.35 metres (515.1 by 20.8 ft) with paddle wheels amidships, and bateaux crabes, a huge toothed "claw"wheel 6.5 metres (21 ft) across to grip the river bed in the shallows to supplement the paddle wheels. In the 20th century, powerful motor barges propelled by diesel engines were introduced, carrying 1,500 tonnes (3,300,000 lb).
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In 1933, the Compagnie Nationale du Rhône (CNR) was established to improve navigation and generate electricity, also to develop irrigated agriculture and to protect the riverside towns and land from flooding. Some progress was made in deepening the navigation channel and constructing scouring walls, but World War II brought such work to a halt. In 1942, following the collapse of Vichy France, Italian military forces occupied southeastern France up to the eastern banks of the Rhône, as part of the Italian Fascist regime's expansionist agenda.
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In 1948, the government started construction of a series of dams and diversion canals, with a navigation lock beside the hydroelectric power plant on each of these canals. The locks were up to 23 metres (75 ft) deep. After building the Génissiat dam on the Upper Rhône (with no lock) in 1948,[8][9] designed to meet the electricity needs of Paris, twelve hydroelectric plants and locks were built between 1964 and 1980. With a total head of 162 m, they produce 13 GWh of electricity annually, or 16% of the country's total hydroelectric production (20% if the Upper Rhône schemes are added). There have been significant benefits for agriculture throughout the Rhône valley.
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With the Lower Rhône project completed, CNR turned its attention to the Haut-Rhône (Upper Rhône), and built four hydropower dams in the 1980s: Sault-Brénaz, Brégnier-Cordon, Belley-Brens and Chautagne. It also drew up plans for the high-capacity Rhine-Rhône Waterway, along the route of the existing Canal du Rhône au Rhin, but this project was abandoned in 1997. In the period from 2005 to 2010, navigation locks of small barge dimensions (40 by 6 m) were built to bypass the last two, forming a navigable waterway network with Lake Bourget, through the Canal de Savières.[10]
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Cities and towns along the Rhône include:
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The Rhône (/roʊn/ ROHN, French: [ʁon] (listen); German: Rhone [ˈroːnə] (listen); Walser: Rotten [ˈrotən]; Italian: Rodano [ˈrɔːdano]; Spanish: Ródano [ˈroːdano]; Arpitan: Rôno [ˈʁono]; Occitan: Ròse [ˈrɔze, ˈʀɔze]) is one of the major rivers of Europe and has twice the average discharge of the Loire (which is the longest French river), rising in the Rhône Glacier in the Swiss Alps at the far eastern end of the Swiss canton of Valais, passing through Lake Geneva and running through southeastern France. At Arles, near its mouth on the Mediterranean Sea, the river divides into two branches, known as the Great Rhône (French: le Grand Rhône) and the Little Rhône (le Petit Rhône). The resulting delta constitutes the Camargue region.
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The name Rhone continues the name Latin: Rhodanus (Greek Ῥοδανός Rhodanós) in Greco-Roman geography. The Gaulish name of the river was *Rodonos or *Rotonos (from a PIE root *ret- "to run, roll" frequently found in river names).
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The Greco-Roman as well as the reconstructed Gaulish name is masculine, as is French le Rhône. This form survives in the Spanish/Portuguese and Italian namesakes, el/o Ródano and il Rodano, respectively. German has adopted the French name but given it the feminine gender, die Rhone. The original German adoption of the Latin name was also masculine, der Rotten; it survives only in the Upper Valais (dialectal Rottu).
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In French, the adjective derived from the river is rhodanien, as in le sillon rhodanien (literally "the furrow of the Rhône"), which is the name of the long, straight Saône and Rhône river valleys, a deep cleft running due south to the Mediterranean and separating the Alps from the Massif Central.
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Before railroads and highways were developed, the Rhône was an important inland trade and transportation route, connecting the cities of Arles, Avignon, Valence, Vienne and Lyon to the Mediterranean ports of Fos-sur-Mer, Marseille and Sète. Travelling down the Rhône by barge would take three weeks. By motorized vessel, the trip now takes only three days. The Rhône is classified as a Class V waterway for the 325 km long section from the mouth of the Saône at Lyon to the sea at Port-Saint-Louis-du-Rhône.[1] Upstream from Lyon, a 149 km section of the Rhône was made navigable for small ships up to Seyssel. As of 2017[update], the part between Lyon and Sault-Brénaz is closed for navigation.[2]
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The Saône, which is also canalized, connects the Rhône ports to the cities of Villefranche-sur-Saône, Mâcon and Chalon-sur-Saône. Smaller vessels (up to CEMT class I) can travel further northwest, north and northeast via the Centre-Loire-Briare and Loing Canals to the Seine, via the Canal de la Marne à la Saône (recently often called the "Canal entre Champagne et Bourgogne") to the Marne, via the Canal des Vosges (formerly called the "Canal de l'Est – Branche Sud") to the Moselle and via the Canal du Rhône au Rhin to the Rhine.
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The Rhône is infamous for its strong current when the river carries large quantities of water: current speeds up to 10 kilometres per hour (6 mph) are sometimes reached, particularly in the stretch below the last lock at Vallabrègues and in the relatively narrow first diversion canal south of Lyon. The 12 locks are operated daily from 5:00 a.m. until 9:00 p.m. All operation is centrally controlled from one control centre at Châteauneuf. Commercial barges may navigate during the night hours by authorisation.[3]
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The Rhône rises as the meltwater of the Rhône Glacier in the Valais, in the Swiss Alps, at an altitude of approximately 2,208 metres (7,244 ft).[4] From there it flows south through Gletsch and the Goms, the uppermost, valley region of the Valais before Brig. Shortly before reaching Brig, it receives the waters of the Massa from the Aletsch Glacier. It flows onward through the valley which bears its name and runs initially in a westerly direction about thirty kilometers to Leuk, then southwest about fifty kilometers to Martigny.
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Down as far as Brig, the Rhône is a torrent; it then becomes a great mountain river running southwest through a glacier valley. Between Brig and Martigny, it collects waters mostly from the valleys of the Pennine Alps to the south, whose rivers originate from the large glaciers of the massifs of Monte Rosa, Dom, and Grand Combin.
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At Martigny, where it receives the waters of the Drance on its left bank, the Rhône makes a strong turn towards the north. Heading toward Lake Geneva, the valley narrows, a feature that has long given the Rhône valley strategic importance for the control of the Alpine passes. The Rhône then marks the boundary between the cantons of Valais (left bank) and Vaud (right bank), separating the Valais Chablais and Chablais Vaudois. It enters Lake Geneva near Le Bouveret.
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On a portion of its extent Lake Geneva marks the border between France and Switzerland. On the left bank of Lake Geneva the river receives the river Morge. This river marks the border between France (Haute-Savoie) and Switzerland (Valais). The Morge enters Lake Geneva at Saint-Gingolph, a village on both sides of the border. Then between Évian-les-Bains and Thonon-les-Bains the Dranse enters the lakewhere it left a quite large delta. On the right bank of the lake the Rhône receives the Veveyse, the Venoge, the Aubonne and the Morges besides others.
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Lake Geneva ends in Geneva, where the lake level is maintained by the Seujet dam. The average discharge from Lake Geneva is 251 cubic metres per second (8,900 cu ft/s).[5] In Geneva, the Rhône receives the waters of the Arve from the Mont Blanc. After a course of 290 kilometres (180 mi) the Rhône leaves Switzerland and enters the southern Jura Mountains. It then turns toward the south past the Bourget Lake which it is connected by the Savières channel. At Lyon, which is the biggest city along its course, the Rhône meets its biggest tributary, the Saône. The Saône carries 400 cubic metres per second (14,000 cu ft/s) and the Rhône itself 600 cubic metres per second (21,000 cu ft/s). From the confluence, the Rhône follows the southbound direction of the Saône. Along the Rhône Valley, it is joined on the right (western) bank by the rivers Eyrieux, Ardèche, Cèze, and Gardon coming from the Cévennes mountains; and on the left bank by the rivers Isère, with an average discharge of 350 cubic metres per second (12,000 cu ft/s), Drôme, Ouvèze, and Durance at 188 cubic metres per second (6,600 cu ft/s) from the Alps.
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From Lyon, it flows south, between the Alps and the Massif Central. At Arles, the Rhône divides into two major arms forming the Camargue delta, both branches flowing into the Mediterranean Sea, the delta being termed the Rhône Fan. The larger arm is called the "Grand Rhône", the smaller the "Petit Rhône". The average annual discharge at Arles is 1,710 cubic metres per second (60,000 cu ft/s).[5]
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The Rhône has been an important highway since the times of the Greeks and Romans. It was the main trade route from the Mediterranean to east-central Gaul.[6] As such, it helped convey Greek cultural influences to the western Hallstatt and the later La Tène cultures.[6] Celtic tribes living near the Rhône included the Seduni, Sequani, Segobriges, Allobroges, Segusiavi, Helvetii, Vocontii and Volcae Arecomici.[6]
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Navigation was difficult, as the river suffered from fierce currents, shallows, floods in spring and early summer when the ice was melting, and droughts in late summer. Until the 19th century, passengers travelled in coches d'eau (water coaches) drawn by men or horses, or under sail. Most travelled with a painted cross covered with religious symbols as protection against the hazards of the journey.[7]
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Trade on the upper river used barques du Rhône, sailing barges, 30 by 3.5 metres (98 by 11 ft), with a 75-tonne (165,000 lb) capacity. As many as 50 to 80 horses were employed to haul trains of five to seven craft upstream. Goods would be transshipped at Arles into 23-metre (75 ft) sailing barges called allèges d'Arles for the final run down to the Mediterranean.
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The first experimental steam boat was built at Lyon by Jouffroy d'Abbans in 1783. Regular services were not started until 1829 and they continued until 1952. Steam passenger vessels 80 to 100 metres (260–330 ft) long made up to 20 kilometres per hour (12 mph) and could do the downstream run from Lyon to Arles in a day. Cargo was hauled in bateau-anguilles, boats 157 by 6.35 metres (515.1 by 20.8 ft) with paddle wheels amidships, and bateaux crabes, a huge toothed "claw"wheel 6.5 metres (21 ft) across to grip the river bed in the shallows to supplement the paddle wheels. In the 20th century, powerful motor barges propelled by diesel engines were introduced, carrying 1,500 tonnes (3,300,000 lb).
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In 1933, the Compagnie Nationale du Rhône (CNR) was established to improve navigation and generate electricity, also to develop irrigated agriculture and to protect the riverside towns and land from flooding. Some progress was made in deepening the navigation channel and constructing scouring walls, but World War II brought such work to a halt. In 1942, following the collapse of Vichy France, Italian military forces occupied southeastern France up to the eastern banks of the Rhône, as part of the Italian Fascist regime's expansionist agenda.
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In 1948, the government started construction of a series of dams and diversion canals, with a navigation lock beside the hydroelectric power plant on each of these canals. The locks were up to 23 metres (75 ft) deep. After building the Génissiat dam on the Upper Rhône (with no lock) in 1948,[8][9] designed to meet the electricity needs of Paris, twelve hydroelectric plants and locks were built between 1964 and 1980. With a total head of 162 m, they produce 13 GWh of electricity annually, or 16% of the country's total hydroelectric production (20% if the Upper Rhône schemes are added). There have been significant benefits for agriculture throughout the Rhône valley.
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With the Lower Rhône project completed, CNR turned its attention to the Haut-Rhône (Upper Rhône), and built four hydropower dams in the 1980s: Sault-Brénaz, Brégnier-Cordon, Belley-Brens and Chautagne. It also drew up plans for the high-capacity Rhine-Rhône Waterway, along the route of the existing Canal du Rhône au Rhin, but this project was abandoned in 1997. In the period from 2005 to 2010, navigation locks of small barge dimensions (40 by 6 m) were built to bypass the last two, forming a navigable waterway network with Lake Bourget, through the Canal de Savières.[10]
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Cities and towns along the Rhône include:
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The Rhône (/roʊn/ ROHN, French: [ʁon] (listen); German: Rhone [ˈroːnə] (listen); Walser: Rotten [ˈrotən]; Italian: Rodano [ˈrɔːdano]; Spanish: Ródano [ˈroːdano]; Arpitan: Rôno [ˈʁono]; Occitan: Ròse [ˈrɔze, ˈʀɔze]) is one of the major rivers of Europe and has twice the average discharge of the Loire (which is the longest French river), rising in the Rhône Glacier in the Swiss Alps at the far eastern end of the Swiss canton of Valais, passing through Lake Geneva and running through southeastern France. At Arles, near its mouth on the Mediterranean Sea, the river divides into two branches, known as the Great Rhône (French: le Grand Rhône) and the Little Rhône (le Petit Rhône). The resulting delta constitutes the Camargue region.
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|
3 |
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The name Rhone continues the name Latin: Rhodanus (Greek Ῥοδανός Rhodanós) in Greco-Roman geography. The Gaulish name of the river was *Rodonos or *Rotonos (from a PIE root *ret- "to run, roll" frequently found in river names).
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4 |
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The Greco-Roman as well as the reconstructed Gaulish name is masculine, as is French le Rhône. This form survives in the Spanish/Portuguese and Italian namesakes, el/o Ródano and il Rodano, respectively. German has adopted the French name but given it the feminine gender, die Rhone. The original German adoption of the Latin name was also masculine, der Rotten; it survives only in the Upper Valais (dialectal Rottu).
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In French, the adjective derived from the river is rhodanien, as in le sillon rhodanien (literally "the furrow of the Rhône"), which is the name of the long, straight Saône and Rhône river valleys, a deep cleft running due south to the Mediterranean and separating the Alps from the Massif Central.
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Before railroads and highways were developed, the Rhône was an important inland trade and transportation route, connecting the cities of Arles, Avignon, Valence, Vienne and Lyon to the Mediterranean ports of Fos-sur-Mer, Marseille and Sète. Travelling down the Rhône by barge would take three weeks. By motorized vessel, the trip now takes only three days. The Rhône is classified as a Class V waterway for the 325 km long section from the mouth of the Saône at Lyon to the sea at Port-Saint-Louis-du-Rhône.[1] Upstream from Lyon, a 149 km section of the Rhône was made navigable for small ships up to Seyssel. As of 2017[update], the part between Lyon and Sault-Brénaz is closed for navigation.[2]
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The Saône, which is also canalized, connects the Rhône ports to the cities of Villefranche-sur-Saône, Mâcon and Chalon-sur-Saône. Smaller vessels (up to CEMT class I) can travel further northwest, north and northeast via the Centre-Loire-Briare and Loing Canals to the Seine, via the Canal de la Marne à la Saône (recently often called the "Canal entre Champagne et Bourgogne") to the Marne, via the Canal des Vosges (formerly called the "Canal de l'Est – Branche Sud") to the Moselle and via the Canal du Rhône au Rhin to the Rhine.
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The Rhône is infamous for its strong current when the river carries large quantities of water: current speeds up to 10 kilometres per hour (6 mph) are sometimes reached, particularly in the stretch below the last lock at Vallabrègues and in the relatively narrow first diversion canal south of Lyon. The 12 locks are operated daily from 5:00 a.m. until 9:00 p.m. All operation is centrally controlled from one control centre at Châteauneuf. Commercial barges may navigate during the night hours by authorisation.[3]
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The Rhône rises as the meltwater of the Rhône Glacier in the Valais, in the Swiss Alps, at an altitude of approximately 2,208 metres (7,244 ft).[4] From there it flows south through Gletsch and the Goms, the uppermost, valley region of the Valais before Brig. Shortly before reaching Brig, it receives the waters of the Massa from the Aletsch Glacier. It flows onward through the valley which bears its name and runs initially in a westerly direction about thirty kilometers to Leuk, then southwest about fifty kilometers to Martigny.
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Down as far as Brig, the Rhône is a torrent; it then becomes a great mountain river running southwest through a glacier valley. Between Brig and Martigny, it collects waters mostly from the valleys of the Pennine Alps to the south, whose rivers originate from the large glaciers of the massifs of Monte Rosa, Dom, and Grand Combin.
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At Martigny, where it receives the waters of the Drance on its left bank, the Rhône makes a strong turn towards the north. Heading toward Lake Geneva, the valley narrows, a feature that has long given the Rhône valley strategic importance for the control of the Alpine passes. The Rhône then marks the boundary between the cantons of Valais (left bank) and Vaud (right bank), separating the Valais Chablais and Chablais Vaudois. It enters Lake Geneva near Le Bouveret.
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On a portion of its extent Lake Geneva marks the border between France and Switzerland. On the left bank of Lake Geneva the river receives the river Morge. This river marks the border between France (Haute-Savoie) and Switzerland (Valais). The Morge enters Lake Geneva at Saint-Gingolph, a village on both sides of the border. Then between Évian-les-Bains and Thonon-les-Bains the Dranse enters the lakewhere it left a quite large delta. On the right bank of the lake the Rhône receives the Veveyse, the Venoge, the Aubonne and the Morges besides others.
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Lake Geneva ends in Geneva, where the lake level is maintained by the Seujet dam. The average discharge from Lake Geneva is 251 cubic metres per second (8,900 cu ft/s).[5] In Geneva, the Rhône receives the waters of the Arve from the Mont Blanc. After a course of 290 kilometres (180 mi) the Rhône leaves Switzerland and enters the southern Jura Mountains. It then turns toward the south past the Bourget Lake which it is connected by the Savières channel. At Lyon, which is the biggest city along its course, the Rhône meets its biggest tributary, the Saône. The Saône carries 400 cubic metres per second (14,000 cu ft/s) and the Rhône itself 600 cubic metres per second (21,000 cu ft/s). From the confluence, the Rhône follows the southbound direction of the Saône. Along the Rhône Valley, it is joined on the right (western) bank by the rivers Eyrieux, Ardèche, Cèze, and Gardon coming from the Cévennes mountains; and on the left bank by the rivers Isère, with an average discharge of 350 cubic metres per second (12,000 cu ft/s), Drôme, Ouvèze, and Durance at 188 cubic metres per second (6,600 cu ft/s) from the Alps.
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From Lyon, it flows south, between the Alps and the Massif Central. At Arles, the Rhône divides into two major arms forming the Camargue delta, both branches flowing into the Mediterranean Sea, the delta being termed the Rhône Fan. The larger arm is called the "Grand Rhône", the smaller the "Petit Rhône". The average annual discharge at Arles is 1,710 cubic metres per second (60,000 cu ft/s).[5]
|
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The Rhône has been an important highway since the times of the Greeks and Romans. It was the main trade route from the Mediterranean to east-central Gaul.[6] As such, it helped convey Greek cultural influences to the western Hallstatt and the later La Tène cultures.[6] Celtic tribes living near the Rhône included the Seduni, Sequani, Segobriges, Allobroges, Segusiavi, Helvetii, Vocontii and Volcae Arecomici.[6]
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Navigation was difficult, as the river suffered from fierce currents, shallows, floods in spring and early summer when the ice was melting, and droughts in late summer. Until the 19th century, passengers travelled in coches d'eau (water coaches) drawn by men or horses, or under sail. Most travelled with a painted cross covered with religious symbols as protection against the hazards of the journey.[7]
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Trade on the upper river used barques du Rhône, sailing barges, 30 by 3.5 metres (98 by 11 ft), with a 75-tonne (165,000 lb) capacity. As many as 50 to 80 horses were employed to haul trains of five to seven craft upstream. Goods would be transshipped at Arles into 23-metre (75 ft) sailing barges called allèges d'Arles for the final run down to the Mediterranean.
|
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The first experimental steam boat was built at Lyon by Jouffroy d'Abbans in 1783. Regular services were not started until 1829 and they continued until 1952. Steam passenger vessels 80 to 100 metres (260–330 ft) long made up to 20 kilometres per hour (12 mph) and could do the downstream run from Lyon to Arles in a day. Cargo was hauled in bateau-anguilles, boats 157 by 6.35 metres (515.1 by 20.8 ft) with paddle wheels amidships, and bateaux crabes, a huge toothed "claw"wheel 6.5 metres (21 ft) across to grip the river bed in the shallows to supplement the paddle wheels. In the 20th century, powerful motor barges propelled by diesel engines were introduced, carrying 1,500 tonnes (3,300,000 lb).
|
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In 1933, the Compagnie Nationale du Rhône (CNR) was established to improve navigation and generate electricity, also to develop irrigated agriculture and to protect the riverside towns and land from flooding. Some progress was made in deepening the navigation channel and constructing scouring walls, but World War II brought such work to a halt. In 1942, following the collapse of Vichy France, Italian military forces occupied southeastern France up to the eastern banks of the Rhône, as part of the Italian Fascist regime's expansionist agenda.
|
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In 1948, the government started construction of a series of dams and diversion canals, with a navigation lock beside the hydroelectric power plant on each of these canals. The locks were up to 23 metres (75 ft) deep. After building the Génissiat dam on the Upper Rhône (with no lock) in 1948,[8][9] designed to meet the electricity needs of Paris, twelve hydroelectric plants and locks were built between 1964 and 1980. With a total head of 162 m, they produce 13 GWh of electricity annually, or 16% of the country's total hydroelectric production (20% if the Upper Rhône schemes are added). There have been significant benefits for agriculture throughout the Rhône valley.
|
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39 |
+
With the Lower Rhône project completed, CNR turned its attention to the Haut-Rhône (Upper Rhône), and built four hydropower dams in the 1980s: Sault-Brénaz, Brégnier-Cordon, Belley-Brens and Chautagne. It also drew up plans for the high-capacity Rhine-Rhône Waterway, along the route of the existing Canal du Rhône au Rhin, but this project was abandoned in 1997. In the period from 2005 to 2010, navigation locks of small barge dimensions (40 by 6 m) were built to bypass the last two, forming a navigable waterway network with Lake Bourget, through the Canal de Savières.[10]
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Cities and towns along the Rhône include:
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1 |
+
The Rhône (/roʊn/ ROHN, French: [ʁon] (listen); German: Rhone [ˈroːnə] (listen); Walser: Rotten [ˈrotən]; Italian: Rodano [ˈrɔːdano]; Spanish: Ródano [ˈroːdano]; Arpitan: Rôno [ˈʁono]; Occitan: Ròse [ˈrɔze, ˈʀɔze]) is one of the major rivers of Europe and has twice the average discharge of the Loire (which is the longest French river), rising in the Rhône Glacier in the Swiss Alps at the far eastern end of the Swiss canton of Valais, passing through Lake Geneva and running through southeastern France. At Arles, near its mouth on the Mediterranean Sea, the river divides into two branches, known as the Great Rhône (French: le Grand Rhône) and the Little Rhône (le Petit Rhône). The resulting delta constitutes the Camargue region.
|
2 |
+
|
3 |
+
The name Rhone continues the name Latin: Rhodanus (Greek Ῥοδανός Rhodanós) in Greco-Roman geography. The Gaulish name of the river was *Rodonos or *Rotonos (from a PIE root *ret- "to run, roll" frequently found in river names).
|
4 |
+
|
5 |
+
The Greco-Roman as well as the reconstructed Gaulish name is masculine, as is French le Rhône. This form survives in the Spanish/Portuguese and Italian namesakes, el/o Ródano and il Rodano, respectively. German has adopted the French name but given it the feminine gender, die Rhone. The original German adoption of the Latin name was also masculine, der Rotten; it survives only in the Upper Valais (dialectal Rottu).
|
6 |
+
|
7 |
+
In French, the adjective derived from the river is rhodanien, as in le sillon rhodanien (literally "the furrow of the Rhône"), which is the name of the long, straight Saône and Rhône river valleys, a deep cleft running due south to the Mediterranean and separating the Alps from the Massif Central.
|
8 |
+
|
9 |
+
Before railroads and highways were developed, the Rhône was an important inland trade and transportation route, connecting the cities of Arles, Avignon, Valence, Vienne and Lyon to the Mediterranean ports of Fos-sur-Mer, Marseille and Sète. Travelling down the Rhône by barge would take three weeks. By motorized vessel, the trip now takes only three days. The Rhône is classified as a Class V waterway for the 325 km long section from the mouth of the Saône at Lyon to the sea at Port-Saint-Louis-du-Rhône.[1] Upstream from Lyon, a 149 km section of the Rhône was made navigable for small ships up to Seyssel. As of 2017[update], the part between Lyon and Sault-Brénaz is closed for navigation.[2]
|
10 |
+
|
11 |
+
The Saône, which is also canalized, connects the Rhône ports to the cities of Villefranche-sur-Saône, Mâcon and Chalon-sur-Saône. Smaller vessels (up to CEMT class I) can travel further northwest, north and northeast via the Centre-Loire-Briare and Loing Canals to the Seine, via the Canal de la Marne à la Saône (recently often called the "Canal entre Champagne et Bourgogne") to the Marne, via the Canal des Vosges (formerly called the "Canal de l'Est – Branche Sud") to the Moselle and via the Canal du Rhône au Rhin to the Rhine.
|
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+
|
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+
The Rhône is infamous for its strong current when the river carries large quantities of water: current speeds up to 10 kilometres per hour (6 mph) are sometimes reached, particularly in the stretch below the last lock at Vallabrègues and in the relatively narrow first diversion canal south of Lyon. The 12 locks are operated daily from 5:00 a.m. until 9:00 p.m. All operation is centrally controlled from one control centre at Châteauneuf. Commercial barges may navigate during the night hours by authorisation.[3]
|
14 |
+
|
15 |
+
The Rhône rises as the meltwater of the Rhône Glacier in the Valais, in the Swiss Alps, at an altitude of approximately 2,208 metres (7,244 ft).[4] From there it flows south through Gletsch and the Goms, the uppermost, valley region of the Valais before Brig. Shortly before reaching Brig, it receives the waters of the Massa from the Aletsch Glacier. It flows onward through the valley which bears its name and runs initially in a westerly direction about thirty kilometers to Leuk, then southwest about fifty kilometers to Martigny.
|
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+
|
17 |
+
Down as far as Brig, the Rhône is a torrent; it then becomes a great mountain river running southwest through a glacier valley. Between Brig and Martigny, it collects waters mostly from the valleys of the Pennine Alps to the south, whose rivers originate from the large glaciers of the massifs of Monte Rosa, Dom, and Grand Combin.
|
18 |
+
|
19 |
+
At Martigny, where it receives the waters of the Drance on its left bank, the Rhône makes a strong turn towards the north. Heading toward Lake Geneva, the valley narrows, a feature that has long given the Rhône valley strategic importance for the control of the Alpine passes. The Rhône then marks the boundary between the cantons of Valais (left bank) and Vaud (right bank), separating the Valais Chablais and Chablais Vaudois. It enters Lake Geneva near Le Bouveret.
|
20 |
+
|
21 |
+
On a portion of its extent Lake Geneva marks the border between France and Switzerland. On the left bank of Lake Geneva the river receives the river Morge. This river marks the border between France (Haute-Savoie) and Switzerland (Valais). The Morge enters Lake Geneva at Saint-Gingolph, a village on both sides of the border. Then between Évian-les-Bains and Thonon-les-Bains the Dranse enters the lakewhere it left a quite large delta. On the right bank of the lake the Rhône receives the Veveyse, the Venoge, the Aubonne and the Morges besides others.
|
22 |
+
|
23 |
+
Lake Geneva ends in Geneva, where the lake level is maintained by the Seujet dam. The average discharge from Lake Geneva is 251 cubic metres per second (8,900 cu ft/s).[5] In Geneva, the Rhône receives the waters of the Arve from the Mont Blanc. After a course of 290 kilometres (180 mi) the Rhône leaves Switzerland and enters the southern Jura Mountains. It then turns toward the south past the Bourget Lake which it is connected by the Savières channel. At Lyon, which is the biggest city along its course, the Rhône meets its biggest tributary, the Saône. The Saône carries 400 cubic metres per second (14,000 cu ft/s) and the Rhône itself 600 cubic metres per second (21,000 cu ft/s). From the confluence, the Rhône follows the southbound direction of the Saône. Along the Rhône Valley, it is joined on the right (western) bank by the rivers Eyrieux, Ardèche, Cèze, and Gardon coming from the Cévennes mountains; and on the left bank by the rivers Isère, with an average discharge of 350 cubic metres per second (12,000 cu ft/s), Drôme, Ouvèze, and Durance at 188 cubic metres per second (6,600 cu ft/s) from the Alps.
|
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+
|
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+
From Lyon, it flows south, between the Alps and the Massif Central. At Arles, the Rhône divides into two major arms forming the Camargue delta, both branches flowing into the Mediterranean Sea, the delta being termed the Rhône Fan. The larger arm is called the "Grand Rhône", the smaller the "Petit Rhône". The average annual discharge at Arles is 1,710 cubic metres per second (60,000 cu ft/s).[5]
|
26 |
+
|
27 |
+
The Rhône has been an important highway since the times of the Greeks and Romans. It was the main trade route from the Mediterranean to east-central Gaul.[6] As such, it helped convey Greek cultural influences to the western Hallstatt and the later La Tène cultures.[6] Celtic tribes living near the Rhône included the Seduni, Sequani, Segobriges, Allobroges, Segusiavi, Helvetii, Vocontii and Volcae Arecomici.[6]
|
28 |
+
|
29 |
+
Navigation was difficult, as the river suffered from fierce currents, shallows, floods in spring and early summer when the ice was melting, and droughts in late summer. Until the 19th century, passengers travelled in coches d'eau (water coaches) drawn by men or horses, or under sail. Most travelled with a painted cross covered with religious symbols as protection against the hazards of the journey.[7]
|
30 |
+
|
31 |
+
Trade on the upper river used barques du Rhône, sailing barges, 30 by 3.5 metres (98 by 11 ft), with a 75-tonne (165,000 lb) capacity. As many as 50 to 80 horses were employed to haul trains of five to seven craft upstream. Goods would be transshipped at Arles into 23-metre (75 ft) sailing barges called allèges d'Arles for the final run down to the Mediterranean.
|
32 |
+
|
33 |
+
The first experimental steam boat was built at Lyon by Jouffroy d'Abbans in 1783. Regular services were not started until 1829 and they continued until 1952. Steam passenger vessels 80 to 100 metres (260–330 ft) long made up to 20 kilometres per hour (12 mph) and could do the downstream run from Lyon to Arles in a day. Cargo was hauled in bateau-anguilles, boats 157 by 6.35 metres (515.1 by 20.8 ft) with paddle wheels amidships, and bateaux crabes, a huge toothed "claw"wheel 6.5 metres (21 ft) across to grip the river bed in the shallows to supplement the paddle wheels. In the 20th century, powerful motor barges propelled by diesel engines were introduced, carrying 1,500 tonnes (3,300,000 lb).
|
34 |
+
|
35 |
+
In 1933, the Compagnie Nationale du Rhône (CNR) was established to improve navigation and generate electricity, also to develop irrigated agriculture and to protect the riverside towns and land from flooding. Some progress was made in deepening the navigation channel and constructing scouring walls, but World War II brought such work to a halt. In 1942, following the collapse of Vichy France, Italian military forces occupied southeastern France up to the eastern banks of the Rhône, as part of the Italian Fascist regime's expansionist agenda.
|
36 |
+
|
37 |
+
In 1948, the government started construction of a series of dams and diversion canals, with a navigation lock beside the hydroelectric power plant on each of these canals. The locks were up to 23 metres (75 ft) deep. After building the Génissiat dam on the Upper Rhône (with no lock) in 1948,[8][9] designed to meet the electricity needs of Paris, twelve hydroelectric plants and locks were built between 1964 and 1980. With a total head of 162 m, they produce 13 GWh of electricity annually, or 16% of the country's total hydroelectric production (20% if the Upper Rhône schemes are added). There have been significant benefits for agriculture throughout the Rhône valley.
|
38 |
+
|
39 |
+
With the Lower Rhône project completed, CNR turned its attention to the Haut-Rhône (Upper Rhône), and built four hydropower dams in the 1980s: Sault-Brénaz, Brégnier-Cordon, Belley-Brens and Chautagne. It also drew up plans for the high-capacity Rhine-Rhône Waterway, along the route of the existing Canal du Rhône au Rhin, but this project was abandoned in 1997. In the period from 2005 to 2010, navigation locks of small barge dimensions (40 by 6 m) were built to bypass the last two, forming a navigable waterway network with Lake Bourget, through the Canal de Savières.[10]
|
40 |
+
|
41 |
+
Cities and towns along the Rhône include:
|
42 |
+
|
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1 |
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Richard I (8 September 1157 – 6 April 1199) was King of England from 1189 until his death. He also ruled as Duke of Normandy, Aquitaine and Gascony, Lord of Cyprus, Count of Poitiers, Anjou, Maine, and Nantes, and was overlord of Brittany at various times during the same period. He was the third of five sons of King Henry II of England and Duchess Eleanor of Aquitaine and seemed unlikely to become king, but all of his brothers except the youngest, John, predeceased their father. Richard is known as Richard Cœur de Lion (Norman French: Le quor de lion) or Richard the Lionheart because of his reputation as a great military leader and warrior.[1] The troubador Bertran de Born also called him Richard Oc-e-Non (Occitan for Yes and No), possibly from a reputation for terseness.[2]
|
6 |
+
|
7 |
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By the age of 16, Richard had taken command of his own army, putting down rebellions in Poitou against his father.[1] Richard was an important Christian commander during the Third Crusade, leading the campaign after the departure of Philip II of France and achieving considerable victories against his Muslim counterpart, Saladin, although he failed to retake Jerusalem.[3]
|
8 |
+
|
9 |
+
Richard probably spoke both French and Occitan.[4] He was born in England, where he spent his childhood; before becoming king, however, he lived most of his adult life in the Duchy of Aquitaine, in the southwest of France. Following his accession, he spent very little time, perhaps as little as six months, in England. Most of his life as king was spent on Crusade, in captivity, or actively defending his lands in France. Rather than regarding his kingdom as a responsibility requiring his presence as ruler, he has been perceived as preferring to use it merely as a source of revenue to support his armies.[5] Nevertheless, he was seen as a pious hero by his subjects.[6] He remains one of the few kings of England remembered more commonly by his epithet than his regnal number, and is an enduring iconic figure both in England and in France.[7]
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Richard was born on 8 September 1157,[8] probably at Beaumont Palace,[9] in Oxford, England, son of King Henry II of England and Duchess Eleanor of Aquitaine. He was a younger brother of Henry the Young King and Matilda, Duchess of Saxony.[10] As a younger son of King Henry II, he was not expected to ascend to the throne.[11] He was also an elder brother of Geoffrey II, Duke of Brittany; Queen Eleanor of Castile; Queen Joan of Sicily; and Count John of Mortain, who succeeded him as king. Richard was the younger maternal half-brother of Marie of France, Countess of Champagne, and Alix, Countess of Blois.[10] Henry II and Eleanor's eldest son William IX, Count of Poitiers, died before Richard's birth.[10] Richard is often depicted as having been the favourite son of his mother.[12] His father was Angevin-Norman and great-grandson of William the Conqueror. Contemporary historian Ralph de Diceto traced his family's lineage through Matilda of Scotland to the Anglo-Saxon kings of England and Alfred the Great, and from there legend linked them to Noah and Woden. According to Angevin family tradition, there was even 'infernal blood' in their ancestry, with a claimed descent from the fairy, or female demon, Melusine.[9][13]
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While his father visited his lands from Scotland to France, Richard probably spent his childhood in England. His first recorded visit to the European continent was in May 1165, when his mother took him to Normandy.[14] His wet nurse was Hodierna of St Albans, whom he gave a generous pension after he became king.[15] Little is known about Richard's education.[16] Although he was born in Oxford and brought up in England up to his eighth year, it is not known to what extent he used or understood English; he was an educated man who composed poetry and wrote in Limousin (lenga d'òc) and also in French.[17] During his captivity, English prejudice against foreigners was used in a calculated way by his brother John to help destroy the authority of Richard's chancellor, William Longchamp, who was a Norman. One of the specific charges laid against Longchamp, by John's supporter Hugh Nonant, was that he could not speak English. This indicates that by the late 12th century a knowledge of English was expected of those in positions of authority in England.[18][19]
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Richard was said to be very attractive; his hair was between red and blond, and he was light-eyed with a pale complexion. According to Clifford Brewer, he was 6 feet 5 inches (1.96 m),[20] though that is unverifiable since his remains have been lost since at least the French Revolution. John, his youngest brother, was known to be 5 feet 5 inches (1.65 m). The Itinerarium peregrinorum et gesta regis Ricardi, a Latin prose narrative of the Third Crusade, states that: "He was tall, of elegant build; the colour of his hair was between red and gold; his limbs were supple and straight. He had long arms suited to wielding a sword. His long legs matched the rest of his body".[21]
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From an early age, Richard showed significant political and military ability, becoming noted for his chivalry and courage as he fought to control the rebellious nobles of his own territory.
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Marriage alliances were common among medieval royalty: they led to political alliances and peace treaties and allowed families to stake claims of succession on each other's lands. In March 1159 it was arranged that Richard would marry one of the daughters of Ramon Berenguer IV, Count of Barcelona; however, these arrangements failed, and the marriage never took place. Henry the Young King was married to Margaret, daughter of Louis VII of France, on 2 November 1160.[22] Despite this alliance between the Plantagenets and the Capetians, the dynasty on the French throne, the two houses were sometimes in conflict. In 1168, the intercession of Pope Alexander III was necessary to secure a truce between them. Henry II had conquered Brittany and taken control of Gisors and the Vexin, which had been part of Margaret's dowry.[23]
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Early in the 1160s there had been suggestions Richard should marry Alys, Countess of the Vexin, fourth daughter of Louis VII; because of the rivalry between the kings of England and France, Louis obstructed the marriage. A peace treaty was secured in January 1169 and Richard's betrothal to Alys was confirmed.[24] Henry II planned to divide his and Eleanor's territories among their three eldest surviving sons: Henry would become King of England and have control of Anjou, Maine, and Normandy; Richard would inherit Aquitaine and Poitiers from his mother; and Geoffrey would become Duke of Brittany through marriage with Constance, heir presumptive of Conan IV. At the ceremony where Richard's betrothal was confirmed, he paid homage to the King of France for Aquitaine, thus securing ties of vassalage between the two.[25]
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After Henry II fell seriously ill in 1170, he enacted his plan to divide his kingdom, although he would retain overall authority over his sons and their territories. Young Henry was crowned as heir apparent in June 1170, and in 1171 Richard left for Aquitaine with his mother, and Henry II gave him the duchy of Aquitaine at the request of Eleanor.[26] Richard and his mother embarked on a tour of Aquitaine in 1171 in an attempt to pacify the locals.[27] Together they laid the foundation stone of St Augustine's Monastery in Limoges. In June 1172, at age 12, Richard was formally recognised as the duke of Aquitaine and count of Poitou when he was granted the lance and banner emblems of his office; the ceremony took place in Poitiers and was repeated in Limoges, where he wore the ring of St Valerie, who was the personification of Aquitaine.[28][29]
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According to Ralph of Coggeshall, Henry the Young King instigated rebellion against Henry II; he wanted to reign independently over at least part of the territory his father had promised him, and to break away from his dependence on Henry II, who controlled the purse strings.[30] There were rumors that Eleanor might have encouraged her sons to revolt against their father.[31]
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Henry the Young King abandoned his father and left for the French court, seeking the protection of Louis VII; his younger brothers, Richard and Geoffrey, soon followed him, while the five-year-old John remained in England. Louis gave his support to the three brothers and even knighted Richard, tying them together through vassalage.[32]
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Jordan Fantosme, a contemporary poet, described the rebellion as a "war without love".[33]
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The brothers made an oath at the French court that they would not make terms with Henry II without the consent of Louis VII and the French barons.[35] With the support of Louis, Henry the Young King attracted many barons to his cause through promises of land and money; one such baron was Philip I, Count of Flanders, who was promised £1,000 and several castles. The brothers also had supporters ready to rise up in England. Robert de Beaumont, 3rd Earl of Leicester, joined forces with Hugh Bigod, 1st Earl of Norfolk, Hugh de Kevelioc, 5th Earl of Chester, and William I of Scotland for a rebellion in Suffolk. The alliance with Louis was initially successful, and by July 1173 the rebels were besieging Aumale, Neuf-Marché, and Verneuil, and Hugh de Kevelioc had captured Dol in Brittany.[36] Richard went to Poitou and raised the barons who were loyal to himself and his mother in rebellion against his father. Eleanor was captured, so Richard was left to lead his campaign against Henry II's supporters in Aquitaine on his own. He marched to take La Rochelle but was rejected by the inhabitants; he withdrew to the city of Saintes, which he established as a base of operations.[37][38]
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In the meantime, Henry II had raised a very expensive army of more than 20,000 mercenaries with which to face the rebellion.[36] He marched on Verneuil, and Louis retreated from his forces. The army proceeded to recapture Dol and subdued Brittany. At this point Henry II made an offer of peace to his sons; on the advice of Louis the offer was refused.[39] Henry II's forces took Saintes by surprise and captured much of its garrison, although Richard was able to escape with a small group of soldiers. He took refuge in Château de Taillebourg for the rest of the war.[37] Henry the Young King and the Count of Flanders planned to land in England to assist the rebellion led by the Earl of Leicester. Anticipating this, Henry II returned to England with 500 soldiers and his prisoners (including Eleanor and his sons' wives and fiancées),[40] but on his arrival found out that the rebellion had already collapsed. William I of Scotland and Hugh Bigod were captured on 13 and 25 July respectively. Henry II returned to France and raised the siege of Rouen, where Louis VII had been joined by Henry the Young King after abandoning his plan to invade England. Louis was defeated and a peace treaty was signed in September 1174,[39] the Treaty of Montlouis.[41]
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When Henry II and Louis VII made a truce on 8 September 1174, its terms specifically excluded Richard.[40][42] Abandoned by Louis and wary of facing his father's army in battle, Richard went to Henry II's court at Poitiers on 23 September and begged for forgiveness, weeping and falling at the feet of Henry, who gave Richard the kiss of peace.[40][42] Several days later, Richard's brothers joined him in seeking reconciliation with their father.[40] The terms the three brothers accepted were less generous than those they had been offered earlier in the conflict (when Richard was offered four castles in Aquitaine and half of the income from the duchy):[35] Richard was given control of two castles in Poitou and half the income of Aquitaine; Henry the Young King was given two castles in Normandy; and Geoffrey was permitted half of Brittany. Eleanor remained Henry II's prisoner until his death, partly as insurance for Richard's good behaviour.[43]
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After the conclusion of the war, the process of pacifying the provinces that had rebelled against Henry II began. The King travelled to Anjou for this purpose, and Geoffrey dealt with Brittany. In January 1175 Richard was dispatched to Aquitaine to punish the barons who had fought for him. The historian John Gillingham notes that the chronicle of Roger of Howden is the main source for Richard's activities in this period.[44] According to the chronicle, most of the castles belonging to rebels were to be returned to the state they were in 15 days before the outbreak of war, while others were to be razed.[44] Given that by this time it was common for castles to be built in stone, and that many barons had expanded or refortified their castles, this was not an easy task.[45] Roger of Howden records the two-month siege of Castillon-sur-Agen; while the castle was "notoriously strong", Richard's siege engines battered the defenders into submission.[46] On this campaign, Richard acquired the name "the Lion" or "the Lionheart" due to his noble, brave and fierce leadership.[47][45]He is referred to as "this our lion" (hic leo noster) as early as 1187 in the Topographia Hibernica of Giraldus Cambrensis,[48] while the byname "lionheart" (le quor de lion) is first recorded in Ambroise's L'Estoire de la Guerre Sainte in the context of the Accon campaign of 1191.[49]
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Henry seemed unwilling to entrust any of his sons with resources that could be used against him. It was suspected that Henry had appropriated Alys, Richard's betrothed, the daughter of Louis VII of France by his second wife, as his mistress. This made a marriage between Richard and Alys technically impossible in the eyes of the Church, but Henry prevaricated: he regarded Alys's dowry, Vexin in the Île-de-France, as valuable. Richard was discouraged from renouncing Alys because she was the sister of King Philip II of France, a close ally.[50][51][52]
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After his failure to overthrow his father, Richard concentrated on putting down internal revolts by the nobles of Aquitaine, especially in the territory of Gascony. The increasing cruelty of his rule led to a major revolt there in 1179. Hoping to dethrone Richard, the rebels sought the help of his brothers Henry and Geoffrey. The turning point came in the Charente Valley in the spring of 1179. The well-defended fortress of Taillebourg seemed impregnable. The castle was surrounded by a cliff on three sides and a town on the fourth side with a three-layer wall. Richard first destroyed and looted the farms and lands surrounding the fortress, leaving its defenders no reinforcements or lines of retreat. The garrison sallied out of the castle and attacked Richard; he was able to subdue the army and then followed the defenders inside the open gates, where he easily took over the castle in two days. Richard the Lionheart's victory at Taillebourg deterred many barons from thinking of rebelling and forced them to declare their loyalty to him. It also won Richard a reputation as a skilled military commander.[citation needed]
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In 1181–1182 Richard faced a revolt over the succession to the county of Angoulême. His opponents turned to Philip II of France for support, and the fighting spread through the Limousin and Périgord. The excessive cruelty of Richard's punitive campaigns aroused even more hostility.[53] However, with support from his father and from the Young King, Richard the Lionheart eventually succeeded in bringing the Viscount Aimar V of Limoges and Count Elie of Périgord to terms.[citation needed]
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After Richard had subdued his rebellious barons he again challenged his father. From 1180 to 1183 the tension between Henry and Richard grew, as King Henry commanded Richard to pay homage to Henry the Young King, but Richard refused. Finally, in 1183 Henry the Young King and Geoffrey, Duke of Brittany, invaded Aquitaine in an attempt to subdue Richard. Richard's barons joined in the fray and turned against their duke. However, Richard and his army succeeded in holding back the invading armies, and they executed any prisoners. The conflict paused briefly in June 1183 when the Young King died. With the death of Henry the Young King, Richard became the eldest surviving son and therefore heir to the English crown. King Henry demanded that Richard give up Aquitaine (which he planned to give to his youngest son John as his inheritance). Richard refused, and conflict continued between them. Henry II soon gave John permission to invade Aquitaine.[citation needed]
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To strengthen his position, in 1187, Richard allied himself with 22-year-old Philip II, the son of Eleanor's ex-husband Louis VII by Adela of Champagne. Roger of Howden wrote:
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The King of England was struck with great astonishment, and wondered what [this alliance] could mean, and, taking precautions for the future, frequently sent messengers into France for the purpose of recalling his son Richard; who, pretending that he was peaceably inclined and ready to come to his father, made his way to Chinon, and, in spite of the person who had the custody thereof, carried off the greater part of his father's treasures, and fortified his castles in Poitou with the same, refusing to go to his father.[54]
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Overall, Howden is chiefly concerned with the politics of the relationship between Richard and King Philip. Gillingham has addressed theories suggesting that this political relationship was also sexually intimate, which he posits probably stemmed from an official record announcing that, as a symbol of unity between the two countries, the kings of England and France had slept overnight in the same bed. Gillingham has characterized this as "an accepted political act, nothing sexual about it;... a bit like a modern-day photo opportunity".[55]
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In exchange for Philip's help against his father, Richard promised to concede to him his rights to both Normandy and Anjou. Richard paid homage to Philip in November 1187. With news arriving of the Battle of Hattin, he took the cross at Tours in the company of other French nobles.[citation needed]
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In 1188 Henry II planned to concede Aquitaine to his youngest son John. But Richard objected. He felt that Aquitaine was his and that John was unfit to take over the land once belonging to his mother. This refusal is what finally made Henry II bring Queen Eleanor out of prison. He sent her to Aquitaine and demanded that Richard give up his lands to his mother, who would once again rule over those lands.[56]
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The following year, Richard attempted to take the throne of England for himself by joining Philip's expedition against his father. On 4 July 1189, the forces of Richard and Philip defeated Henry's army at Ballans. Henry, with John's consent, agreed to name Richard his heir apparent. Two days later Henry II died in Chinon, and Richard the Lionheart succeeded him as King of England, Duke of Normandy, and Count of Anjou. Roger of Howden claimed that Henry's corpse bled from the nose in Richard's presence, which was assumed to be a sign that Richard had caused his death.[citation needed]
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Richard I was officially invested as Duke of Normandy on 20 July 1189 and crowned king in Westminster Abbey on 3 September 1189.[57] Tradition barred all Jews and women from the investiture, but some Jewish leaders arrived to present gifts for the new king.[58] According to Ralph of Diceto, Richard's courtiers stripped and flogged the Jews, then flung them out of court.[59]
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When a rumour spread that Richard had ordered all Jews to be killed, the people of London attacked the Jewish population.[59] Many Jewish homes were destroyed by arsonists, and several Jews were forcibly converted.[59] Some sought sanctuary in the Tower of London, and others managed to escape. Among those killed was Jacob of Orléans, a respected Jewish scholar.[60] Roger of Howden, in his Gesta Regis Ricardi, claimed that the jealous and bigoted citizens started the rioting, and that Richard punished the perpetrators, allowing a forcibly converted Jew to return to his native religion. Baldwin of Forde, Archbishop of Canterbury, reacted by remarking, "If the King is not God's man, he had better be the devil's".[61]
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Offended that he was not being obeyed and realising that the assaults could destabilise his realm on the eve of his departure on crusade, Richard ordered the execution of those responsible for the most egregious murders and persecutions, including rioters who had accidentally burned down Christian homes.[62] He distributed a royal writ demanding that the Jews be left alone. The edict was only loosely enforced, however, and the following March further violence occurred, including a massacre at York.[63]
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Richard had already taken the cross as Count of Poitou in 1187. His father and Philip II had done so at Gisors on 21 January 1188 after receiving news of the fall of Jerusalem to Saladin. After Richard became king, he and Philip agreed to go on the Third Crusade, since each feared that during his absence the other might usurp his territories.[64]
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Richard swore an oath to renounce his past wickedness in order to show himself worthy to take the cross. He started to raise and equip a new crusader army. He spent most of his father's treasury (filled with money raised by the Saladin tithe), raised taxes, and even agreed to free King William I of Scotland from his oath of subservience to Richard in exchange for 10,000 marks (£6,500). To raise still more revenue he sold the right to hold official positions, lands, and other privileges to those interested in them.[65] Those already appointed were forced to pay huge sums to retain their posts. William Longchamp, Bishop of Ely and the King's chancellor, made a show of bidding £3,000 to remain as Chancellor. He was apparently outbid by a certain Reginald the Italian, but that bid was refused.[citation needed]
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Richard made some final arrangements on the continent.[66] He reconfirmed his father's appointment of William Fitz Ralph to the important post of seneschal of Normandy. In Anjou, Stephen of Tours was replaced as seneschal and temporarily imprisoned for fiscal mismanagement. Payn de Rochefort, an Angevin knight, became seneschal of Anjou. In Poitou the ex-provost of Benon, Peter Bertin, was made seneschal, and finally, the household official Helie de La Celle was picked for the seneschalship in Gascony. After repositioning the part of his army he left behind to guard his French possessions, Richard finally set out on the crusade in summer 1190.[66] (His delay was criticised by troubadours] such as Bertran de Born.) He appointed as regents Hugh de Puiset, Bishop of Durham, and William de Mandeville, 3rd Earl of Essex—who soon died and was replaced by William Longchamp.[67] Richard's brother John was not satisfied by this decision and started scheming against William Longchamp. When Richard was raising funds for his crusade, he was said to declare, "I would have sold London if I could find a buyer".[68]
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In September 1190 Richard and Philip arrived in Sicily.[69] After the death of King William II of Sicily in 1189 his cousin Tancred had seized power, although the legal heir was William's aunt Constance, wife of Henry VI, Holy Roman Emperor. Tancred had imprisoned William's widow, Queen Joan, who was Richard's sister and did not give her the money she had inherited in William's will. When Richard arrived he demanded that his sister be released and given her inheritance; she was freed on 28 September, but without the inheritance.[70] The presence of foreign troops also caused unrest: in October, the people of Messina revolted, demanding that the foreigners leave.[71] Richard attacked Messina, capturing it on 4 October 1190.[71] After looting and burning the city Richard established his base there, but this created tension between Richard and Philip Augustus. He remained there until Tancred finally agreed to sign a treaty on 4 March 1191. The treaty was signed by Richard, Philip, and Tancred.[72] Its main terms were:
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The two kings stayed on in Sicily for a while, but this resulted in increasing tensions between them and their men, with Philip Augustus plotting with Tancred against Richard.[73] The two kings finally met to clear the air and reached an agreement, including the end of Richard's betrothal to Philip's sister Alys.[74]
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In April 1191 Richard left Messina for Acre, but a storm dispersed his large fleet.[75] After some searching, it was discovered that the ship carrying his sister Joan and his new fiancée, Berengaria of Navarre, was anchored on the south coast of Cyprus, along with the wrecks of several other vessels, including the treasure ship. Survivors of the wrecks had been taken prisoner by the island's ruler, Isaac Komnenos.[76]
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On 1 May 1191 Richard's fleet arrived in the port of Lemesos on Cyprus.[76] He ordered Isaac to release the prisoners and treasure.[76] Isaac refused, so Richard landed his troops and took Limassol.[77] Various princes of the Holy Land arrived in Limassol at the same time, in particular Guy of Lusignan. All declared their support for Richard provided that he support Guy against his rival, Conrad of Montferrat.[78]
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The local magnates abandoned Isaac, who considered making peace with Richard, joining him on the crusade, and offering his daughter in marriage to the person named by Richard.[79] Isaac changed his mind, however, and tried to escape. Richard's troops, led by Guy de Lusignan, conquered the whole island by 1 June. Isaac surrendered and was confined with silver chains because Richard had promised that he would not place him in irons. Richard named Richard de Camville and Robert of Thornham as governors. He later sold the island to the master of Knights Templar, Robert de Sablé, and it was subsequently acquired, in 1192, by Guy of Lusignan and became a stable feudal kingdom.[80]
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The rapid conquest of the island by Richard was of strategic importance. The island occupies a key strategic position on the maritime lanes to the Holy Land, whose occupation by the Christians could not continue without support from the sea.[80] Cyprus remained a Christian stronghold until the battle of Lepanto (1571).[81] Richard's exploit was well publicised and contributed to his reputation, and he also derived significant financial gains from the conquest of the island.[81] Richard left Cyprus for Acre on 5 June with his allies.[81]
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Before leaving Cyprus on crusade, Richard married Berengaria, the first-born daughter of King Sancho VI of Navarre. Richard first grew close to her at a tournament held in her native Navarre.[82] The wedding was held in Limassol on 12 May 1191 at the Chapel of St George and was attended by Richard's sister Joan, whom he had brought from Sicily. The marriage was celebrated with great pomp and splendour, many feasts and entertainments, and public parades and celebrations followed commemorating the event. When Richard married Berengaria he was still officially betrothed to Alys, and he pushed for the match in order to obtain the Kingdom of Navarre as a fief, as Aquitaine had been for his father. Further, Eleanor championed the match, as Navarre bordered Aquitaine, thereby securing the southern border of her ancestral lands. Richard took his new wife on crusade with him briefly, though they returned separately. Berengaria had almost as much difficulty in making the journey home as her husband did, and she did not see England until after his death. After his release from German captivity, Richard showed some regret for his earlier conduct, but he was not reunited with his wife.[83] The marriage remained childless.[citation needed]
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King Richard landed at Acre on 8 June 1191.[84] He gave his support to his Poitevin vassal Guy of Lusignan, who had brought troops to help him in Cyprus. Guy was the widower of his father's cousin Sibylla of Jerusalem and was trying to retain the kingship of Jerusalem, despite his wife's death during the Siege of Acre the previous year.[85] Guy's claim was challenged by Conrad of Montferrat, second husband of Sibylla's half-sister, Isabella: Conrad, whose defence of Tyre had saved the kingdom in 1187, was supported by Philip of France, son of his first cousin Louis VII of France, and by another cousin, Leopold V, Duke of Austria.[86] Richard also allied with Humphrey IV of Toron, Isabella's first husband, from whom she had been forcibly divorced in 1190. Humphrey was loyal to Guy and spoke Arabic fluently, so Richard used him as a translator and negotiator.[87]
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Richard and his forces aided in the capture of Acre, despite Richard's serious illness. At one point, while sick from scurvy, he is said to have picked off guards on the walls with a crossbow, while being carried on a stretcher. Eventually, Conrad of Montferrat concluded the surrender negotiations with Saladin's forces inside Acre and raised the banners of the kings in the city. Richard quarrelled with Leopold of Austria over the deposition of Isaac Komnenos (related to Leopold's Byzantine mother) and his position within the crusade. Leopold's banner had been raised alongside the English and French standards. This was interpreted as arrogance by both Richard and Philip, as Leopold was a vassal of the Holy Roman Emperor (although he was the highest-ranking surviving leader of the imperial forces). Richard's men tore the flag down and threw it in the moat of Acre.[88] Leopold left the crusade immediately. Philip also left soon afterwards, in poor health and after further disputes with Richard over the status of Cyprus (Philip demanded half the island) and the kingship of Jerusalem.[89] Richard, suddenly, found himself without allies.[citation needed]
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Richard had kept 2,700 Muslim prisoners as hostages against Saladin fulfilling all the terms of the surrender of the lands around Acre.[90] Philip, before leaving, had entrusted his prisoners to Conrad, but Richard forced him to hand them over to him. Richard feared his forces being bottled up in Acre as he believed his campaign could not advance with the prisoners in train. He, therefore, ordered all the prisoners executed. He then moved south, defeating Saladin's forces at the Battle of Arsuf 30 miles (50 km) north of Jaffa on 7 September 1191. Saladin attempted to harass Richard's army into breaking its formation in order to defeat it in detail. Richard maintained his army's defensive formation, however, until the Hospitallers broke ranks to charge the right wing of Saladin's forces. Richard then ordered a general counterattack, which won the battle. Arsuf was an important victory. The Muslim army was not destroyed, despite the considerable casualties it suffered, but it did rout; this was considered shameful by the Muslims and boosted the morale of the Crusaders. In November 1191, following the fall of Jaffa, the Crusader army advanced inland towards Jerusalem. The army then marched to Beit Nuba, only 12 miles from Jerusalem. Muslim morale in Jerusalem was so low that the arrival of the Crusaders would probably have caused the city to fall quickly. However, the weather was appallingly bad, cold with heavy rain and hailstorms; this, combined with the fear that the Crusader army, if it besieged Jerusalem, might be trapped by a relieving force, led to the decision to retreat back to the coast.[91] Richard attempted to negotiate with Saladin, but this was unsuccessful. In the first half of 1192, he and his troops refortified Ascalon.[citation needed]
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An election forced Richard to accept Conrad of Montferrat as King of Jerusalem, and he sold Cyprus to his defeated protégé, Guy. Only days later, on 28 April 1192, Conrad was stabbed to death by Assassins[92] before he could be crowned. Eight days later Richard's own nephew Henry II of Champagne was married to the widowed Isabella, although she was carrying Conrad's child. The murder has never been conclusively solved, and Richard's contemporaries widely suspected his involvement.[93]
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The crusader army made another advance on Jerusalem, and in June 1192 it came within sight of the city before being forced to retreat once again, this time because of dissension amongst its leaders. In particular, Richard and the majority of the army council wanted to force Saladin to relinquish Jerusalem by attacking the basis of his power through an invasion of Egypt. The leader of the French contingent, Hugh III, Duke of Burgundy, however, was adamant that a direct attack on Jerusalem should be made. This split the Crusader army into two factions, and neither was strong enough to achieve its objective. Richard stated that he would accompany any attack on Jerusalem but only as a simple soldier; he refused to lead the army. Without a united command the army had little choice but to retreat back to the coast.[94]
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There commenced a period of minor skirmishes with Saladin's forces, punctuated by another defeat in the field for the Ayyubid army at the Battle of Jaffa. Baha' al-Din, a contemporary Muslim soldier and biographer of Saladin, recorded a tribute to Richard's martial prowess at this battle: "I have been assured ... that on that day the king of England, lance in hand, rode along the whole length of our army from right to left, and not one of our soldiers left the ranks to attack him. The Sultan was wroth thereat and left the battlefield in anger...".[95] Both sides realised that their respective positions were growing untenable. Richard knew that both Philip and his own brother John were starting to plot against him, and the morale of Saladin's army had been badly eroded by repeated defeats. However, Saladin insisted on the razing of Ascalon's fortifications, which Richard's men had rebuilt, and a few other points. Richard made one last attempt to strengthen his bargaining position by attempting to invade Egypt—Saladin's chief supply-base—but failed. In the end, time ran out for Richard. He realised that his return could be postponed no longer since both Philip and John were taking advantage of his absence. He and Saladin finally came to a settlement on 2 September 1192. The terms provided for the destruction of Ascalon's fortifications, allowed Christian pilgrims and merchants access to Jerusalem, and initiated a three-year truce.[96] Richard, being ill with scurvy, left for England on October 9, 1192.[97]
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Bad weather forced Richard's ship to put in at Corfu, in the lands of Byzantine Emperor Isaac II Angelos, who objected to Richard's annexation of Cyprus, formerly Byzantine territory. Disguised as a Knight Templar, Richard sailed from Corfu with four attendants, but his ship was wrecked near Aquileia, forcing Richard and his party into a dangerous land route through central Europe. On his way to the territory of his brother-in-law Henry the Lion, Richard was captured shortly before Christmas 1192 near Vienna by Leopold of Austria, who accused Richard of arranging the murder of his cousin Conrad of Montferrat. Moreover, Richard had personally offended Leopold by casting down his standard from the walls of Acre.[citation needed]
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Leopold kept Richard prisoner at Dürnstein Castle under the care of Leopold's ministerialis Hadmar of Kuenring.[98] His mishap was soon known to England, but the regents were for some weeks uncertain of his whereabouts. While in prison, Richard wrote Ja nus hons pris or Ja nuls om pres ("No man who is imprisoned"), which is addressed to his half-sister Marie. He wrote the song, in French and Occitan versions, to express his feelings of abandonment by his people and his sister. The detention of a crusader was contrary to public law,[99][100] and on these grounds Pope Celestine III excommunicated Duke Leopold.[citation needed]
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On 28 March 1193 Richard was brought to Speyer and handed over to Holy Roman Emperor Henry VI, who imprisoned him in Trifels Castle. Henry VI was aggrieved by the support the Plantagenets had given to the family of Henry the Lion and by Richard's recognition of Tancred in Sicily.[99] Henry VI needed money to raise an army and assert his rights over southern Italy and continued to hold Richard for ransom. In response, Pope Celestine III excommunicated Henry VI, as he had Duke Leopold, for the continued wrongful imprisonment of Richard. Richard famously refused to show deference to the Emperor and declared to him, "I am born of a rank which recognises no superior but God".[101] Despite his complaints, the conditions of his captivity were not severe.[citation needed]
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The Emperor demanded that 150,000 marks (100,000 pounds of silver) be delivered to him before he would release the King, the same amount raised by the Saladin tithe only a few years earlier,[102] and 2–3 times the annual income for the English Crown under Richard. Richard's mother, Eleanor, worked to raise the ransom. Both clergy and laymen were taxed for a quarter of the value of their property, the gold and silver treasures of the churches were confiscated, and money was raised from the scutage and the carucage taxes. At the same time, John, Richard's brother, and King Philip of France offered 80,000 marks for Henry VI to hold Richard prisoner until Michaelmas 1194. Henry turned down the offer. The money to rescue the King was transferred to Germany by the Emperor's ambassadors, but "at the king's peril" (had it been lost along the way, Richard would have been held responsible), and finally, on 4 February 1194 Richard was released. Philip sent a message to John: "Look to yourself; the devil is loose".[103]
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In Richard's absence, his brother John revolted with the aid of Philip; amongst Philip's conquests in the period of Richard's imprisonment was Normandy.[104] Richard forgave John when they met again and named him as his heir in place of their nephew, Arthur. At Winchester, on 11 March 1194, Richard was crowned a second time to nullify the shame of his captivity.[105]
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Richard began his reconquest of Normandy. The fall of the Château de Gisors to the French in 1193 opened a gap in the Norman defences. The search began for a fresh site for a new castle to defend the duchy of Normandy and act as a base from which Richard could launch his campaign to take back the Vexin from French control.[106] A naturally defensible position was identified perched high above the River Seine, an important transport route, in the manor of Andeli. Under the terms of the Treaty of Louviers (December 1195) between Richard and Philip II, neither king was allowed to fortify the site; despite this, Richard intended to build the vast Château Gaillard.[107] Richard tried to obtain the manor through negotiation. Walter de Coutances, Archbishop of Rouen, was reluctant to sell the manor as it was one of the diocese's most profitable, and other lands belonging to the diocese had recently been damaged by war.[107] When Philip besieged Aumale in Normandy, Richard grew tired of waiting and seized the manor,[107][108] although the act was opposed by the Catholic Church.[109] The archbishop issued an interdict against performing church services in the duchy of Normandy; Roger of Howden detailed "unburied bodies of the dead lying in the streets and square of the cities of Normandy". The interdict was still in force when work began on the castle, but Pope Celestine III repealed it in April 1197 after Richard made gifts of land to the archbishop and the diocese of Rouen, including two manors and the prosperous port of Dieppe.[110][111]
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Royal expenditure on castles declined from the levels spent under Henry II, attributed to a concentration of resources on Richard's war with the king of France.[112] However, the work at Château Gaillard was some of the most expensive of its time and cost an estimated £15,000 to £20,000 between 1196 and 1198.[113] This was more than double Richard's spending on castles in England, an estimated £7,000.[114] Unprecedented in its speed of construction, the castle was mostly complete in two years when most construction on such a scale would have taken the best part of a decade.[113] According to William of Newburgh, in May 1198 Richard and the labourers working on the castle were drenched in a "rain of blood". While some of his advisers thought the rain was an evil omen, Richard was undeterred.[115]
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As no master-mason is mentioned in the otherwise detailed records of the castle's construction, military historian Allen Brown has suggested that Richard himself was the overall architect; this is supported by the interest Richard showed in the work through his frequent presence.[116] In his final years, the castle became Richard's favourite residence, and writs and charters were written at Château Gaillard bearing "apud Bellum Castrum de Rupe" (at the Fair Castle of the Rock).[117]
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Château Gaillard was ahead of its time, featuring innovations that would be adopted in castle architecture nearly a century later. Allen Brown described Château Gaillard as "one of the finest castles in Europe",[117] and military historian Sir Charles Oman wrote that it was considered "the masterpiece of its time. The reputation of its builder, Cœur de Lion, as a great military engineer might stand firm on this single structure. He was no mere copyist of the models he had seen in the East, but introduced many original details of his own invention into the stronghold".[118]
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Determined to resist Philip's designs on contested Angevin lands such as the Vexin and Berry, Richard poured all his military expertise and vast resources into the war on the French King. He organised an alliance against Philip, including Baldwin IX of Flanders, Renaud, Count of Boulogne, and his father-in-law King Sancho VI of Navarre, who raided Philip's lands from the south. Most importantly, he managed to secure the Welf inheritance in Saxony for his nephew, Henry the Lion's son, who was elected Otto IV of Germany in 1198.[citation needed]
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Partly as a result of these and other intrigues, Richard won several victories over Philip. At Fréteval in 1194, just after Richard's return to France from captivity and money-raising in England, Philip fled, leaving his entire archive of financial audits and documents to be captured by Richard. At the Battle of Gisors (sometimes called Courcelles) in 1198, Richard took Dieu et mon Droit—"God and my Right"—as his motto (still used by the British monarchy today), echoing his earlier boast to Emperor Henry that his rank acknowledged no superior but God.[citation needed]
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In March 1199, Richard was in Limousin suppressing a revolt by Viscount Aimar V of Limoges. Although it was Lent, he "devastated the Viscount's land with fire and sword".[120] He besieged the puny, virtually unarmed castle of Châlus-Chabrol. Some chroniclers claimed that this was because a local peasant had uncovered a treasure trove of Roman gold.[121]
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On 26 March 1199, Richard was hit in the shoulder by a crossbow, and the wound turned gangrenous.[122] Richard asked to have the crossbowman brought before him; called alternatively Pierre (or Peter) Basile, John Sabroz, Dudo,[123][124] and Bertrand de Gourdon (from the town of Gourdon) by chroniclers, the man turned out (according to some sources, but not all) to be a boy. He said Richard had killed his father and two brothers, and that he had killed Richard in revenge. He expected to be executed, but as a final act of mercy Richard forgave him, saying "Live on, and by my bounty behold the light of day", before he ordered the boy to be freed and sent away with 100 shillings.[125] It is unclear whether the pardon was upheld following his death. Richard then set his affairs in order, bequeathing all his territory to his brother John and his jewels to his nephew Otto.[citation needed]
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Richard died on 6 April 1199 in the arms of his mother, and thus "ended his earthly day."[126] Because of the nature of Richard's death, it was later referred to as "the Lion by the Ant was slain".[127] According to one chronicler, Richard's last act of chivalry proved fruitless when the infamous mercenary captain Mercadier had the boy flayed alive and hanged as soon as Richard died.[128]
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Richard's heart was buried at Rouen in Normandy, his entrails in Châlus (where he died), and the rest of his body at the feet of his father at Fontevraud Abbey in Anjou.[129] In 2012, scientists analysed the remains of Richard's heart and found that it had been embalmed with various substances, including frankincense, a symbolically important substance because it had been present both at the birth and embalming of the Christ.[130]
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Henry Sandford, Bishop of Rochester (1226–1235), announced that he had seen a vision of Richard ascending to Heaven in March 1232 (along with Stephen Langton, the former Archbishop of Canterbury), the King having presumably spent 33 years in purgatory as expiation for his sins.[131]
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Richard produced no legitimate heirs and acknowledged only one illegitimate son, Philip of Cognac. As a result, he was succeeded by his brother John as king.[132] However, his French territories, with the exception of Rouen, initially rejected John as a successor, preferring his nephew Arthur, as how royal inheritance rules applied to the situation at the time of Richard’s death was unclear.[133] The lack of any direct heirs from Richard was the first step in the dissolution of the Angevin Empire.[132]
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Contemporaries considered Richard as both a king and a knight famed for personal martial prowess; this was, apparently, the first such instance of this combination.[134] He was known as a valiant, competent military leader and individual fighter who was courageous and generous. At the same time, he was considered prone to the sins of lust, pride, greed, and above all excessive cruelty. Ralph of Coggeshall, summarising Richard's career, deplores that the King was one of "the immense cohort of sinners".[135] He was criticised by clergy chroniclers for having taxed the clergy both for the Crusade and for his ransom, whereas the church and the clergy were usually exempt from taxes.[136]
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Richard was a patron and a protector of the trouvères and troubadours of his entourage; he was also a poet himself.[137][138] He was interested in writing and music, and two poems are attributed to him. The first one is a sirventes in Old French, Dalfin je us voill desrenier, and the second one is a lament that he wrote during his imprisonment at Dürnstein Castle, Ja nus hons pris, with a version in Old Occitan and a version in Old French.[138][139]
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In the historiography of the second half of the 20th century, much interest was shown in Richard's sexuality, in particular whether there was evidence of homosexuality. The topic had not been raised by Victorian or Edwardian historians, a fact which was itself denounced as a "conspiracy of silence" by John Harvey (1948).[140] The argument primarily drew on accounts of Richard's behaviour, as well as of his confessions and penitences, and of his childless marriage.[141] Richard did have at least one illegitimate child, and there are reports on his sexual relations with local women during his campaigns.[142] Historians remain divided on the question of Richard's sexuality.[143] Harvey argued in favour of his homosexuality[144] but has been disputed by other historians, most notably John Gillingham (1994), who argues that Richard was probably heterosexual.[145] Flori (1999) again argued in favour of Richard's homosexuality, based on Richard's two public confessions and penitences (in 1191 and 1195) which, according to Flori, "must have" referred to the sin of sodomy.[146] Flori, however, concedes that contemporary accounts of Richard taking women by force exist,[147] concluding that he probably had sexual relations with both men and women.[148]
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Flori and Gillingham nevertheless agree that accounts of bed-sharing do not support the suggestion that Richard had a sexual relationship with King Philip II, as had been suggested by other modern authors.[149]
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The second Great Seal of Richard I (1198) shows him bearing a shield depicting three lions passant-guardant. This is the first instance of the appearance of this blazon, which later became established as the Royal Arms of England. It is likely, therefore, that Richard introduced this heraldic design.[150] In his earlier Great Seal of 1189, he had used either one lion rampant or two lions rampants combatants, which arms he may have adopted from his father.[151]
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Richard is also credited with having originated the English crest of a lion statant (now statant-guardant).[152] The coat of three lions continues to represent England on several coins of the pound sterling, forms the basis of several emblems of English national sports teams (such as the England national football team, and the team's "Three Lions" anthem),[153] and endures as one of the most recognisable national symbols of England.[154]
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Around the middle of the 13th century, various legends developed that, after Richard's capture, his minstrel Blondel travelled Europe from castle to castle, loudly singing a song known only to the two of them (they had composed it together).[155] Eventually, he came to the place where Richard was being held, and Richard heard the song and answered with the appropriate refrain, thus revealing where the King was incarcerated. The story was the basis of André Ernest Modeste Grétry's opera Richard Cœur-de-Lion and seems to be the inspiration for the opening to Richard Thorpe's film version of Ivanhoe. It seems unconnected to the real Jean 'Blondel' de Nesle, an aristocratic trouvère. It also does not correspond to the historical reality, since the King's jailers did not hide the fact; on the contrary, they publicised it.[156] An early account of this legend is to be found in Claude Fauchet's Recueil de l'origine de la langue et poesie françoise (1581).[157]
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At some time around the 16th century, tales of Robin Hood started to mention him as a contemporary and supporter of King Richard the Lionheart, Robin being driven to outlawry, during the misrule of Richard's evil brother John, while Richard was away at the Third Crusade.[158]
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Richard's reputation over the years has "fluctuated wildly", according to historian John Gillingham.[159]
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While contemporary sources emphasize his stern and unforgiving nature and his excessive cruelty, his image had already been romanticized a few decades after his death, with the new views on Richard depicting him as generous-hearted preux chevalier.[160]
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Richard left an indelible imprint on the imagination extending to the present, in large part because of his military exploits, and his popular image tended to be dominated by the positive qualities of chivalry and military competence.[134] This is reflected in Steven Runciman's final verdict of Richard I: "he was a bad son, a bad husband, and a bad king, but a gallant and splendid soldier" ("History of the Crusades" Vol. III). Meanwhile, Muslim writers[161] during the Crusades period and after wrote of him: "Never have we had to face a bolder or more subtle opponent".[161]
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Victorian England was divided on Richard: many admired him as a crusader and man of God, erecting an heroic statue to him outside the Houses of Parliament. The late-Victorian scholar William Stubbs, on the other hand, thought him "a bad son, a bad husband, a selfish ruler, and a vicious man". During his ten years' reign, he was in England for no more than six months, and was totally absent for the last five years.[159] Stubbs argued that:
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He was a bad king: his great exploits, his military skill, his splendour and extravagance, his poetical tastes, his adventurous spirit, do not serve to cloak his entire want of sympathy, or even consideration, for his people. He was no Englishman, but it does not follow that he gave to Normandy, Anjou, or Aquitaine the love or care that he denied to his kingdom. His ambition was that of a mere warrior: he would fight for anything whatever, but he would sell everything that was worth fighting for. The glory that he sought was that of victory rather than conquest.[162]
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In World War I, when British troops commanded by General Edmund Allenby captured Jerusalem, the British press printed cartoons of Richard looking down from the heavens with the caption reading, "At last my dream has come true".[163] General Allenby protested against his campaign being presented as a latter-day Crusade, however, stating "The importance of Jerusalem lay in its strategic importance, there was no religious impulse in this campaign".[164]
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Richard I (8 September 1157 – 6 April 1199) was King of England from 1189 until his death. He also ruled as Duke of Normandy, Aquitaine and Gascony, Lord of Cyprus, Count of Poitiers, Anjou, Maine, and Nantes, and was overlord of Brittany at various times during the same period. He was the third of five sons of King Henry II of England and Duchess Eleanor of Aquitaine and seemed unlikely to become king, but all of his brothers except the youngest, John, predeceased their father. Richard is known as Richard Cœur de Lion (Norman French: Le quor de lion) or Richard the Lionheart because of his reputation as a great military leader and warrior.[1] The troubador Bertran de Born also called him Richard Oc-e-Non (Occitan for Yes and No), possibly from a reputation for terseness.[2]
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By the age of 16, Richard had taken command of his own army, putting down rebellions in Poitou against his father.[1] Richard was an important Christian commander during the Third Crusade, leading the campaign after the departure of Philip II of France and achieving considerable victories against his Muslim counterpart, Saladin, although he failed to retake Jerusalem.[3]
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Richard probably spoke both French and Occitan.[4] He was born in England, where he spent his childhood; before becoming king, however, he lived most of his adult life in the Duchy of Aquitaine, in the southwest of France. Following his accession, he spent very little time, perhaps as little as six months, in England. Most of his life as king was spent on Crusade, in captivity, or actively defending his lands in France. Rather than regarding his kingdom as a responsibility requiring his presence as ruler, he has been perceived as preferring to use it merely as a source of revenue to support his armies.[5] Nevertheless, he was seen as a pious hero by his subjects.[6] He remains one of the few kings of England remembered more commonly by his epithet than his regnal number, and is an enduring iconic figure both in England and in France.[7]
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Richard was born on 8 September 1157,[8] probably at Beaumont Palace,[9] in Oxford, England, son of King Henry II of England and Duchess Eleanor of Aquitaine. He was a younger brother of Henry the Young King and Matilda, Duchess of Saxony.[10] As a younger son of King Henry II, he was not expected to ascend to the throne.[11] He was also an elder brother of Geoffrey II, Duke of Brittany; Queen Eleanor of Castile; Queen Joan of Sicily; and Count John of Mortain, who succeeded him as king. Richard was the younger maternal half-brother of Marie of France, Countess of Champagne, and Alix, Countess of Blois.[10] Henry II and Eleanor's eldest son William IX, Count of Poitiers, died before Richard's birth.[10] Richard is often depicted as having been the favourite son of his mother.[12] His father was Angevin-Norman and great-grandson of William the Conqueror. Contemporary historian Ralph de Diceto traced his family's lineage through Matilda of Scotland to the Anglo-Saxon kings of England and Alfred the Great, and from there legend linked them to Noah and Woden. According to Angevin family tradition, there was even 'infernal blood' in their ancestry, with a claimed descent from the fairy, or female demon, Melusine.[9][13]
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While his father visited his lands from Scotland to France, Richard probably spent his childhood in England. His first recorded visit to the European continent was in May 1165, when his mother took him to Normandy.[14] His wet nurse was Hodierna of St Albans, whom he gave a generous pension after he became king.[15] Little is known about Richard's education.[16] Although he was born in Oxford and brought up in England up to his eighth year, it is not known to what extent he used or understood English; he was an educated man who composed poetry and wrote in Limousin (lenga d'òc) and also in French.[17] During his captivity, English prejudice against foreigners was used in a calculated way by his brother John to help destroy the authority of Richard's chancellor, William Longchamp, who was a Norman. One of the specific charges laid against Longchamp, by John's supporter Hugh Nonant, was that he could not speak English. This indicates that by the late 12th century a knowledge of English was expected of those in positions of authority in England.[18][19]
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Richard was said to be very attractive; his hair was between red and blond, and he was light-eyed with a pale complexion. According to Clifford Brewer, he was 6 feet 5 inches (1.96 m),[20] though that is unverifiable since his remains have been lost since at least the French Revolution. John, his youngest brother, was known to be 5 feet 5 inches (1.65 m). The Itinerarium peregrinorum et gesta regis Ricardi, a Latin prose narrative of the Third Crusade, states that: "He was tall, of elegant build; the colour of his hair was between red and gold; his limbs were supple and straight. He had long arms suited to wielding a sword. His long legs matched the rest of his body".[21]
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From an early age, Richard showed significant political and military ability, becoming noted for his chivalry and courage as he fought to control the rebellious nobles of his own territory.
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Marriage alliances were common among medieval royalty: they led to political alliances and peace treaties and allowed families to stake claims of succession on each other's lands. In March 1159 it was arranged that Richard would marry one of the daughters of Ramon Berenguer IV, Count of Barcelona; however, these arrangements failed, and the marriage never took place. Henry the Young King was married to Margaret, daughter of Louis VII of France, on 2 November 1160.[22] Despite this alliance between the Plantagenets and the Capetians, the dynasty on the French throne, the two houses were sometimes in conflict. In 1168, the intercession of Pope Alexander III was necessary to secure a truce between them. Henry II had conquered Brittany and taken control of Gisors and the Vexin, which had been part of Margaret's dowry.[23]
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Early in the 1160s there had been suggestions Richard should marry Alys, Countess of the Vexin, fourth daughter of Louis VII; because of the rivalry between the kings of England and France, Louis obstructed the marriage. A peace treaty was secured in January 1169 and Richard's betrothal to Alys was confirmed.[24] Henry II planned to divide his and Eleanor's territories among their three eldest surviving sons: Henry would become King of England and have control of Anjou, Maine, and Normandy; Richard would inherit Aquitaine and Poitiers from his mother; and Geoffrey would become Duke of Brittany through marriage with Constance, heir presumptive of Conan IV. At the ceremony where Richard's betrothal was confirmed, he paid homage to the King of France for Aquitaine, thus securing ties of vassalage between the two.[25]
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After Henry II fell seriously ill in 1170, he enacted his plan to divide his kingdom, although he would retain overall authority over his sons and their territories. Young Henry was crowned as heir apparent in June 1170, and in 1171 Richard left for Aquitaine with his mother, and Henry II gave him the duchy of Aquitaine at the request of Eleanor.[26] Richard and his mother embarked on a tour of Aquitaine in 1171 in an attempt to pacify the locals.[27] Together they laid the foundation stone of St Augustine's Monastery in Limoges. In June 1172, at age 12, Richard was formally recognised as the duke of Aquitaine and count of Poitou when he was granted the lance and banner emblems of his office; the ceremony took place in Poitiers and was repeated in Limoges, where he wore the ring of St Valerie, who was the personification of Aquitaine.[28][29]
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According to Ralph of Coggeshall, Henry the Young King instigated rebellion against Henry II; he wanted to reign independently over at least part of the territory his father had promised him, and to break away from his dependence on Henry II, who controlled the purse strings.[30] There were rumors that Eleanor might have encouraged her sons to revolt against their father.[31]
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Henry the Young King abandoned his father and left for the French court, seeking the protection of Louis VII; his younger brothers, Richard and Geoffrey, soon followed him, while the five-year-old John remained in England. Louis gave his support to the three brothers and even knighted Richard, tying them together through vassalage.[32]
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Jordan Fantosme, a contemporary poet, described the rebellion as a "war without love".[33]
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The brothers made an oath at the French court that they would not make terms with Henry II without the consent of Louis VII and the French barons.[35] With the support of Louis, Henry the Young King attracted many barons to his cause through promises of land and money; one such baron was Philip I, Count of Flanders, who was promised £1,000 and several castles. The brothers also had supporters ready to rise up in England. Robert de Beaumont, 3rd Earl of Leicester, joined forces with Hugh Bigod, 1st Earl of Norfolk, Hugh de Kevelioc, 5th Earl of Chester, and William I of Scotland for a rebellion in Suffolk. The alliance with Louis was initially successful, and by July 1173 the rebels were besieging Aumale, Neuf-Marché, and Verneuil, and Hugh de Kevelioc had captured Dol in Brittany.[36] Richard went to Poitou and raised the barons who were loyal to himself and his mother in rebellion against his father. Eleanor was captured, so Richard was left to lead his campaign against Henry II's supporters in Aquitaine on his own. He marched to take La Rochelle but was rejected by the inhabitants; he withdrew to the city of Saintes, which he established as a base of operations.[37][38]
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In the meantime, Henry II had raised a very expensive army of more than 20,000 mercenaries with which to face the rebellion.[36] He marched on Verneuil, and Louis retreated from his forces. The army proceeded to recapture Dol and subdued Brittany. At this point Henry II made an offer of peace to his sons; on the advice of Louis the offer was refused.[39] Henry II's forces took Saintes by surprise and captured much of its garrison, although Richard was able to escape with a small group of soldiers. He took refuge in Château de Taillebourg for the rest of the war.[37] Henry the Young King and the Count of Flanders planned to land in England to assist the rebellion led by the Earl of Leicester. Anticipating this, Henry II returned to England with 500 soldiers and his prisoners (including Eleanor and his sons' wives and fiancées),[40] but on his arrival found out that the rebellion had already collapsed. William I of Scotland and Hugh Bigod were captured on 13 and 25 July respectively. Henry II returned to France and raised the siege of Rouen, where Louis VII had been joined by Henry the Young King after abandoning his plan to invade England. Louis was defeated and a peace treaty was signed in September 1174,[39] the Treaty of Montlouis.[41]
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When Henry II and Louis VII made a truce on 8 September 1174, its terms specifically excluded Richard.[40][42] Abandoned by Louis and wary of facing his father's army in battle, Richard went to Henry II's court at Poitiers on 23 September and begged for forgiveness, weeping and falling at the feet of Henry, who gave Richard the kiss of peace.[40][42] Several days later, Richard's brothers joined him in seeking reconciliation with their father.[40] The terms the three brothers accepted were less generous than those they had been offered earlier in the conflict (when Richard was offered four castles in Aquitaine and half of the income from the duchy):[35] Richard was given control of two castles in Poitou and half the income of Aquitaine; Henry the Young King was given two castles in Normandy; and Geoffrey was permitted half of Brittany. Eleanor remained Henry II's prisoner until his death, partly as insurance for Richard's good behaviour.[43]
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After the conclusion of the war, the process of pacifying the provinces that had rebelled against Henry II began. The King travelled to Anjou for this purpose, and Geoffrey dealt with Brittany. In January 1175 Richard was dispatched to Aquitaine to punish the barons who had fought for him. The historian John Gillingham notes that the chronicle of Roger of Howden is the main source for Richard's activities in this period.[44] According to the chronicle, most of the castles belonging to rebels were to be returned to the state they were in 15 days before the outbreak of war, while others were to be razed.[44] Given that by this time it was common for castles to be built in stone, and that many barons had expanded or refortified their castles, this was not an easy task.[45] Roger of Howden records the two-month siege of Castillon-sur-Agen; while the castle was "notoriously strong", Richard's siege engines battered the defenders into submission.[46] On this campaign, Richard acquired the name "the Lion" or "the Lionheart" due to his noble, brave and fierce leadership.[47][45]He is referred to as "this our lion" (hic leo noster) as early as 1187 in the Topographia Hibernica of Giraldus Cambrensis,[48] while the byname "lionheart" (le quor de lion) is first recorded in Ambroise's L'Estoire de la Guerre Sainte in the context of the Accon campaign of 1191.[49]
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Henry seemed unwilling to entrust any of his sons with resources that could be used against him. It was suspected that Henry had appropriated Alys, Richard's betrothed, the daughter of Louis VII of France by his second wife, as his mistress. This made a marriage between Richard and Alys technically impossible in the eyes of the Church, but Henry prevaricated: he regarded Alys's dowry, Vexin in the Île-de-France, as valuable. Richard was discouraged from renouncing Alys because she was the sister of King Philip II of France, a close ally.[50][51][52]
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After his failure to overthrow his father, Richard concentrated on putting down internal revolts by the nobles of Aquitaine, especially in the territory of Gascony. The increasing cruelty of his rule led to a major revolt there in 1179. Hoping to dethrone Richard, the rebels sought the help of his brothers Henry and Geoffrey. The turning point came in the Charente Valley in the spring of 1179. The well-defended fortress of Taillebourg seemed impregnable. The castle was surrounded by a cliff on three sides and a town on the fourth side with a three-layer wall. Richard first destroyed and looted the farms and lands surrounding the fortress, leaving its defenders no reinforcements or lines of retreat. The garrison sallied out of the castle and attacked Richard; he was able to subdue the army and then followed the defenders inside the open gates, where he easily took over the castle in two days. Richard the Lionheart's victory at Taillebourg deterred many barons from thinking of rebelling and forced them to declare their loyalty to him. It also won Richard a reputation as a skilled military commander.[citation needed]
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In 1181–1182 Richard faced a revolt over the succession to the county of Angoulême. His opponents turned to Philip II of France for support, and the fighting spread through the Limousin and Périgord. The excessive cruelty of Richard's punitive campaigns aroused even more hostility.[53] However, with support from his father and from the Young King, Richard the Lionheart eventually succeeded in bringing the Viscount Aimar V of Limoges and Count Elie of Périgord to terms.[citation needed]
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After Richard had subdued his rebellious barons he again challenged his father. From 1180 to 1183 the tension between Henry and Richard grew, as King Henry commanded Richard to pay homage to Henry the Young King, but Richard refused. Finally, in 1183 Henry the Young King and Geoffrey, Duke of Brittany, invaded Aquitaine in an attempt to subdue Richard. Richard's barons joined in the fray and turned against their duke. However, Richard and his army succeeded in holding back the invading armies, and they executed any prisoners. The conflict paused briefly in June 1183 when the Young King died. With the death of Henry the Young King, Richard became the eldest surviving son and therefore heir to the English crown. King Henry demanded that Richard give up Aquitaine (which he planned to give to his youngest son John as his inheritance). Richard refused, and conflict continued between them. Henry II soon gave John permission to invade Aquitaine.[citation needed]
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To strengthen his position, in 1187, Richard allied himself with 22-year-old Philip II, the son of Eleanor's ex-husband Louis VII by Adela of Champagne. Roger of Howden wrote:
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The King of England was struck with great astonishment, and wondered what [this alliance] could mean, and, taking precautions for the future, frequently sent messengers into France for the purpose of recalling his son Richard; who, pretending that he was peaceably inclined and ready to come to his father, made his way to Chinon, and, in spite of the person who had the custody thereof, carried off the greater part of his father's treasures, and fortified his castles in Poitou with the same, refusing to go to his father.[54]
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Overall, Howden is chiefly concerned with the politics of the relationship between Richard and King Philip. Gillingham has addressed theories suggesting that this political relationship was also sexually intimate, which he posits probably stemmed from an official record announcing that, as a symbol of unity between the two countries, the kings of England and France had slept overnight in the same bed. Gillingham has characterized this as "an accepted political act, nothing sexual about it;... a bit like a modern-day photo opportunity".[55]
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In exchange for Philip's help against his father, Richard promised to concede to him his rights to both Normandy and Anjou. Richard paid homage to Philip in November 1187. With news arriving of the Battle of Hattin, he took the cross at Tours in the company of other French nobles.[citation needed]
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In 1188 Henry II planned to concede Aquitaine to his youngest son John. But Richard objected. He felt that Aquitaine was his and that John was unfit to take over the land once belonging to his mother. This refusal is what finally made Henry II bring Queen Eleanor out of prison. He sent her to Aquitaine and demanded that Richard give up his lands to his mother, who would once again rule over those lands.[56]
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The following year, Richard attempted to take the throne of England for himself by joining Philip's expedition against his father. On 4 July 1189, the forces of Richard and Philip defeated Henry's army at Ballans. Henry, with John's consent, agreed to name Richard his heir apparent. Two days later Henry II died in Chinon, and Richard the Lionheart succeeded him as King of England, Duke of Normandy, and Count of Anjou. Roger of Howden claimed that Henry's corpse bled from the nose in Richard's presence, which was assumed to be a sign that Richard had caused his death.[citation needed]
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Richard I was officially invested as Duke of Normandy on 20 July 1189 and crowned king in Westminster Abbey on 3 September 1189.[57] Tradition barred all Jews and women from the investiture, but some Jewish leaders arrived to present gifts for the new king.[58] According to Ralph of Diceto, Richard's courtiers stripped and flogged the Jews, then flung them out of court.[59]
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When a rumour spread that Richard had ordered all Jews to be killed, the people of London attacked the Jewish population.[59] Many Jewish homes were destroyed by arsonists, and several Jews were forcibly converted.[59] Some sought sanctuary in the Tower of London, and others managed to escape. Among those killed was Jacob of Orléans, a respected Jewish scholar.[60] Roger of Howden, in his Gesta Regis Ricardi, claimed that the jealous and bigoted citizens started the rioting, and that Richard punished the perpetrators, allowing a forcibly converted Jew to return to his native religion. Baldwin of Forde, Archbishop of Canterbury, reacted by remarking, "If the King is not God's man, he had better be the devil's".[61]
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Offended that he was not being obeyed and realising that the assaults could destabilise his realm on the eve of his departure on crusade, Richard ordered the execution of those responsible for the most egregious murders and persecutions, including rioters who had accidentally burned down Christian homes.[62] He distributed a royal writ demanding that the Jews be left alone. The edict was only loosely enforced, however, and the following March further violence occurred, including a massacre at York.[63]
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Richard had already taken the cross as Count of Poitou in 1187. His father and Philip II had done so at Gisors on 21 January 1188 after receiving news of the fall of Jerusalem to Saladin. After Richard became king, he and Philip agreed to go on the Third Crusade, since each feared that during his absence the other might usurp his territories.[64]
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Richard swore an oath to renounce his past wickedness in order to show himself worthy to take the cross. He started to raise and equip a new crusader army. He spent most of his father's treasury (filled with money raised by the Saladin tithe), raised taxes, and even agreed to free King William I of Scotland from his oath of subservience to Richard in exchange for 10,000 marks (£6,500). To raise still more revenue he sold the right to hold official positions, lands, and other privileges to those interested in them.[65] Those already appointed were forced to pay huge sums to retain their posts. William Longchamp, Bishop of Ely and the King's chancellor, made a show of bidding £3,000 to remain as Chancellor. He was apparently outbid by a certain Reginald the Italian, but that bid was refused.[citation needed]
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Richard made some final arrangements on the continent.[66] He reconfirmed his father's appointment of William Fitz Ralph to the important post of seneschal of Normandy. In Anjou, Stephen of Tours was replaced as seneschal and temporarily imprisoned for fiscal mismanagement. Payn de Rochefort, an Angevin knight, became seneschal of Anjou. In Poitou the ex-provost of Benon, Peter Bertin, was made seneschal, and finally, the household official Helie de La Celle was picked for the seneschalship in Gascony. After repositioning the part of his army he left behind to guard his French possessions, Richard finally set out on the crusade in summer 1190.[66] (His delay was criticised by troubadours] such as Bertran de Born.) He appointed as regents Hugh de Puiset, Bishop of Durham, and William de Mandeville, 3rd Earl of Essex—who soon died and was replaced by William Longchamp.[67] Richard's brother John was not satisfied by this decision and started scheming against William Longchamp. When Richard was raising funds for his crusade, he was said to declare, "I would have sold London if I could find a buyer".[68]
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In September 1190 Richard and Philip arrived in Sicily.[69] After the death of King William II of Sicily in 1189 his cousin Tancred had seized power, although the legal heir was William's aunt Constance, wife of Henry VI, Holy Roman Emperor. Tancred had imprisoned William's widow, Queen Joan, who was Richard's sister and did not give her the money she had inherited in William's will. When Richard arrived he demanded that his sister be released and given her inheritance; she was freed on 28 September, but without the inheritance.[70] The presence of foreign troops also caused unrest: in October, the people of Messina revolted, demanding that the foreigners leave.[71] Richard attacked Messina, capturing it on 4 October 1190.[71] After looting and burning the city Richard established his base there, but this created tension between Richard and Philip Augustus. He remained there until Tancred finally agreed to sign a treaty on 4 March 1191. The treaty was signed by Richard, Philip, and Tancred.[72] Its main terms were:
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The two kings stayed on in Sicily for a while, but this resulted in increasing tensions between them and their men, with Philip Augustus plotting with Tancred against Richard.[73] The two kings finally met to clear the air and reached an agreement, including the end of Richard's betrothal to Philip's sister Alys.[74]
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In April 1191 Richard left Messina for Acre, but a storm dispersed his large fleet.[75] After some searching, it was discovered that the ship carrying his sister Joan and his new fiancée, Berengaria of Navarre, was anchored on the south coast of Cyprus, along with the wrecks of several other vessels, including the treasure ship. Survivors of the wrecks had been taken prisoner by the island's ruler, Isaac Komnenos.[76]
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On 1 May 1191 Richard's fleet arrived in the port of Lemesos on Cyprus.[76] He ordered Isaac to release the prisoners and treasure.[76] Isaac refused, so Richard landed his troops and took Limassol.[77] Various princes of the Holy Land arrived in Limassol at the same time, in particular Guy of Lusignan. All declared their support for Richard provided that he support Guy against his rival, Conrad of Montferrat.[78]
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The local magnates abandoned Isaac, who considered making peace with Richard, joining him on the crusade, and offering his daughter in marriage to the person named by Richard.[79] Isaac changed his mind, however, and tried to escape. Richard's troops, led by Guy de Lusignan, conquered the whole island by 1 June. Isaac surrendered and was confined with silver chains because Richard had promised that he would not place him in irons. Richard named Richard de Camville and Robert of Thornham as governors. He later sold the island to the master of Knights Templar, Robert de Sablé, and it was subsequently acquired, in 1192, by Guy of Lusignan and became a stable feudal kingdom.[80]
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The rapid conquest of the island by Richard was of strategic importance. The island occupies a key strategic position on the maritime lanes to the Holy Land, whose occupation by the Christians could not continue without support from the sea.[80] Cyprus remained a Christian stronghold until the battle of Lepanto (1571).[81] Richard's exploit was well publicised and contributed to his reputation, and he also derived significant financial gains from the conquest of the island.[81] Richard left Cyprus for Acre on 5 June with his allies.[81]
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Before leaving Cyprus on crusade, Richard married Berengaria, the first-born daughter of King Sancho VI of Navarre. Richard first grew close to her at a tournament held in her native Navarre.[82] The wedding was held in Limassol on 12 May 1191 at the Chapel of St George and was attended by Richard's sister Joan, whom he had brought from Sicily. The marriage was celebrated with great pomp and splendour, many feasts and entertainments, and public parades and celebrations followed commemorating the event. When Richard married Berengaria he was still officially betrothed to Alys, and he pushed for the match in order to obtain the Kingdom of Navarre as a fief, as Aquitaine had been for his father. Further, Eleanor championed the match, as Navarre bordered Aquitaine, thereby securing the southern border of her ancestral lands. Richard took his new wife on crusade with him briefly, though they returned separately. Berengaria had almost as much difficulty in making the journey home as her husband did, and she did not see England until after his death. After his release from German captivity, Richard showed some regret for his earlier conduct, but he was not reunited with his wife.[83] The marriage remained childless.[citation needed]
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King Richard landed at Acre on 8 June 1191.[84] He gave his support to his Poitevin vassal Guy of Lusignan, who had brought troops to help him in Cyprus. Guy was the widower of his father's cousin Sibylla of Jerusalem and was trying to retain the kingship of Jerusalem, despite his wife's death during the Siege of Acre the previous year.[85] Guy's claim was challenged by Conrad of Montferrat, second husband of Sibylla's half-sister, Isabella: Conrad, whose defence of Tyre had saved the kingdom in 1187, was supported by Philip of France, son of his first cousin Louis VII of France, and by another cousin, Leopold V, Duke of Austria.[86] Richard also allied with Humphrey IV of Toron, Isabella's first husband, from whom she had been forcibly divorced in 1190. Humphrey was loyal to Guy and spoke Arabic fluently, so Richard used him as a translator and negotiator.[87]
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Richard and his forces aided in the capture of Acre, despite Richard's serious illness. At one point, while sick from scurvy, he is said to have picked off guards on the walls with a crossbow, while being carried on a stretcher. Eventually, Conrad of Montferrat concluded the surrender negotiations with Saladin's forces inside Acre and raised the banners of the kings in the city. Richard quarrelled with Leopold of Austria over the deposition of Isaac Komnenos (related to Leopold's Byzantine mother) and his position within the crusade. Leopold's banner had been raised alongside the English and French standards. This was interpreted as arrogance by both Richard and Philip, as Leopold was a vassal of the Holy Roman Emperor (although he was the highest-ranking surviving leader of the imperial forces). Richard's men tore the flag down and threw it in the moat of Acre.[88] Leopold left the crusade immediately. Philip also left soon afterwards, in poor health and after further disputes with Richard over the status of Cyprus (Philip demanded half the island) and the kingship of Jerusalem.[89] Richard, suddenly, found himself without allies.[citation needed]
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Richard had kept 2,700 Muslim prisoners as hostages against Saladin fulfilling all the terms of the surrender of the lands around Acre.[90] Philip, before leaving, had entrusted his prisoners to Conrad, but Richard forced him to hand them over to him. Richard feared his forces being bottled up in Acre as he believed his campaign could not advance with the prisoners in train. He, therefore, ordered all the prisoners executed. He then moved south, defeating Saladin's forces at the Battle of Arsuf 30 miles (50 km) north of Jaffa on 7 September 1191. Saladin attempted to harass Richard's army into breaking its formation in order to defeat it in detail. Richard maintained his army's defensive formation, however, until the Hospitallers broke ranks to charge the right wing of Saladin's forces. Richard then ordered a general counterattack, which won the battle. Arsuf was an important victory. The Muslim army was not destroyed, despite the considerable casualties it suffered, but it did rout; this was considered shameful by the Muslims and boosted the morale of the Crusaders. In November 1191, following the fall of Jaffa, the Crusader army advanced inland towards Jerusalem. The army then marched to Beit Nuba, only 12 miles from Jerusalem. Muslim morale in Jerusalem was so low that the arrival of the Crusaders would probably have caused the city to fall quickly. However, the weather was appallingly bad, cold with heavy rain and hailstorms; this, combined with the fear that the Crusader army, if it besieged Jerusalem, might be trapped by a relieving force, led to the decision to retreat back to the coast.[91] Richard attempted to negotiate with Saladin, but this was unsuccessful. In the first half of 1192, he and his troops refortified Ascalon.[citation needed]
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An election forced Richard to accept Conrad of Montferrat as King of Jerusalem, and he sold Cyprus to his defeated protégé, Guy. Only days later, on 28 April 1192, Conrad was stabbed to death by Assassins[92] before he could be crowned. Eight days later Richard's own nephew Henry II of Champagne was married to the widowed Isabella, although she was carrying Conrad's child. The murder has never been conclusively solved, and Richard's contemporaries widely suspected his involvement.[93]
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The crusader army made another advance on Jerusalem, and in June 1192 it came within sight of the city before being forced to retreat once again, this time because of dissension amongst its leaders. In particular, Richard and the majority of the army council wanted to force Saladin to relinquish Jerusalem by attacking the basis of his power through an invasion of Egypt. The leader of the French contingent, Hugh III, Duke of Burgundy, however, was adamant that a direct attack on Jerusalem should be made. This split the Crusader army into two factions, and neither was strong enough to achieve its objective. Richard stated that he would accompany any attack on Jerusalem but only as a simple soldier; he refused to lead the army. Without a united command the army had little choice but to retreat back to the coast.[94]
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There commenced a period of minor skirmishes with Saladin's forces, punctuated by another defeat in the field for the Ayyubid army at the Battle of Jaffa. Baha' al-Din, a contemporary Muslim soldier and biographer of Saladin, recorded a tribute to Richard's martial prowess at this battle: "I have been assured ... that on that day the king of England, lance in hand, rode along the whole length of our army from right to left, and not one of our soldiers left the ranks to attack him. The Sultan was wroth thereat and left the battlefield in anger...".[95] Both sides realised that their respective positions were growing untenable. Richard knew that both Philip and his own brother John were starting to plot against him, and the morale of Saladin's army had been badly eroded by repeated defeats. However, Saladin insisted on the razing of Ascalon's fortifications, which Richard's men had rebuilt, and a few other points. Richard made one last attempt to strengthen his bargaining position by attempting to invade Egypt—Saladin's chief supply-base—but failed. In the end, time ran out for Richard. He realised that his return could be postponed no longer since both Philip and John were taking advantage of his absence. He and Saladin finally came to a settlement on 2 September 1192. The terms provided for the destruction of Ascalon's fortifications, allowed Christian pilgrims and merchants access to Jerusalem, and initiated a three-year truce.[96] Richard, being ill with scurvy, left for England on October 9, 1192.[97]
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Bad weather forced Richard's ship to put in at Corfu, in the lands of Byzantine Emperor Isaac II Angelos, who objected to Richard's annexation of Cyprus, formerly Byzantine territory. Disguised as a Knight Templar, Richard sailed from Corfu with four attendants, but his ship was wrecked near Aquileia, forcing Richard and his party into a dangerous land route through central Europe. On his way to the territory of his brother-in-law Henry the Lion, Richard was captured shortly before Christmas 1192 near Vienna by Leopold of Austria, who accused Richard of arranging the murder of his cousin Conrad of Montferrat. Moreover, Richard had personally offended Leopold by casting down his standard from the walls of Acre.[citation needed]
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Leopold kept Richard prisoner at Dürnstein Castle under the care of Leopold's ministerialis Hadmar of Kuenring.[98] His mishap was soon known to England, but the regents were for some weeks uncertain of his whereabouts. While in prison, Richard wrote Ja nus hons pris or Ja nuls om pres ("No man who is imprisoned"), which is addressed to his half-sister Marie. He wrote the song, in French and Occitan versions, to express his feelings of abandonment by his people and his sister. The detention of a crusader was contrary to public law,[99][100] and on these grounds Pope Celestine III excommunicated Duke Leopold.[citation needed]
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On 28 March 1193 Richard was brought to Speyer and handed over to Holy Roman Emperor Henry VI, who imprisoned him in Trifels Castle. Henry VI was aggrieved by the support the Plantagenets had given to the family of Henry the Lion and by Richard's recognition of Tancred in Sicily.[99] Henry VI needed money to raise an army and assert his rights over southern Italy and continued to hold Richard for ransom. In response, Pope Celestine III excommunicated Henry VI, as he had Duke Leopold, for the continued wrongful imprisonment of Richard. Richard famously refused to show deference to the Emperor and declared to him, "I am born of a rank which recognises no superior but God".[101] Despite his complaints, the conditions of his captivity were not severe.[citation needed]
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The Emperor demanded that 150,000 marks (100,000 pounds of silver) be delivered to him before he would release the King, the same amount raised by the Saladin tithe only a few years earlier,[102] and 2–3 times the annual income for the English Crown under Richard. Richard's mother, Eleanor, worked to raise the ransom. Both clergy and laymen were taxed for a quarter of the value of their property, the gold and silver treasures of the churches were confiscated, and money was raised from the scutage and the carucage taxes. At the same time, John, Richard's brother, and King Philip of France offered 80,000 marks for Henry VI to hold Richard prisoner until Michaelmas 1194. Henry turned down the offer. The money to rescue the King was transferred to Germany by the Emperor's ambassadors, but "at the king's peril" (had it been lost along the way, Richard would have been held responsible), and finally, on 4 February 1194 Richard was released. Philip sent a message to John: "Look to yourself; the devil is loose".[103]
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In Richard's absence, his brother John revolted with the aid of Philip; amongst Philip's conquests in the period of Richard's imprisonment was Normandy.[104] Richard forgave John when they met again and named him as his heir in place of their nephew, Arthur. At Winchester, on 11 March 1194, Richard was crowned a second time to nullify the shame of his captivity.[105]
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Richard began his reconquest of Normandy. The fall of the Château de Gisors to the French in 1193 opened a gap in the Norman defences. The search began for a fresh site for a new castle to defend the duchy of Normandy and act as a base from which Richard could launch his campaign to take back the Vexin from French control.[106] A naturally defensible position was identified perched high above the River Seine, an important transport route, in the manor of Andeli. Under the terms of the Treaty of Louviers (December 1195) between Richard and Philip II, neither king was allowed to fortify the site; despite this, Richard intended to build the vast Château Gaillard.[107] Richard tried to obtain the manor through negotiation. Walter de Coutances, Archbishop of Rouen, was reluctant to sell the manor as it was one of the diocese's most profitable, and other lands belonging to the diocese had recently been damaged by war.[107] When Philip besieged Aumale in Normandy, Richard grew tired of waiting and seized the manor,[107][108] although the act was opposed by the Catholic Church.[109] The archbishop issued an interdict against performing church services in the duchy of Normandy; Roger of Howden detailed "unburied bodies of the dead lying in the streets and square of the cities of Normandy". The interdict was still in force when work began on the castle, but Pope Celestine III repealed it in April 1197 after Richard made gifts of land to the archbishop and the diocese of Rouen, including two manors and the prosperous port of Dieppe.[110][111]
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Royal expenditure on castles declined from the levels spent under Henry II, attributed to a concentration of resources on Richard's war with the king of France.[112] However, the work at Château Gaillard was some of the most expensive of its time and cost an estimated £15,000 to £20,000 between 1196 and 1198.[113] This was more than double Richard's spending on castles in England, an estimated £7,000.[114] Unprecedented in its speed of construction, the castle was mostly complete in two years when most construction on such a scale would have taken the best part of a decade.[113] According to William of Newburgh, in May 1198 Richard and the labourers working on the castle were drenched in a "rain of blood". While some of his advisers thought the rain was an evil omen, Richard was undeterred.[115]
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As no master-mason is mentioned in the otherwise detailed records of the castle's construction, military historian Allen Brown has suggested that Richard himself was the overall architect; this is supported by the interest Richard showed in the work through his frequent presence.[116] In his final years, the castle became Richard's favourite residence, and writs and charters were written at Château Gaillard bearing "apud Bellum Castrum de Rupe" (at the Fair Castle of the Rock).[117]
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Château Gaillard was ahead of its time, featuring innovations that would be adopted in castle architecture nearly a century later. Allen Brown described Château Gaillard as "one of the finest castles in Europe",[117] and military historian Sir Charles Oman wrote that it was considered "the masterpiece of its time. The reputation of its builder, Cœur de Lion, as a great military engineer might stand firm on this single structure. He was no mere copyist of the models he had seen in the East, but introduced many original details of his own invention into the stronghold".[118]
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Determined to resist Philip's designs on contested Angevin lands such as the Vexin and Berry, Richard poured all his military expertise and vast resources into the war on the French King. He organised an alliance against Philip, including Baldwin IX of Flanders, Renaud, Count of Boulogne, and his father-in-law King Sancho VI of Navarre, who raided Philip's lands from the south. Most importantly, he managed to secure the Welf inheritance in Saxony for his nephew, Henry the Lion's son, who was elected Otto IV of Germany in 1198.[citation needed]
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Partly as a result of these and other intrigues, Richard won several victories over Philip. At Fréteval in 1194, just after Richard's return to France from captivity and money-raising in England, Philip fled, leaving his entire archive of financial audits and documents to be captured by Richard. At the Battle of Gisors (sometimes called Courcelles) in 1198, Richard took Dieu et mon Droit—"God and my Right"—as his motto (still used by the British monarchy today), echoing his earlier boast to Emperor Henry that his rank acknowledged no superior but God.[citation needed]
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In March 1199, Richard was in Limousin suppressing a revolt by Viscount Aimar V of Limoges. Although it was Lent, he "devastated the Viscount's land with fire and sword".[120] He besieged the puny, virtually unarmed castle of Châlus-Chabrol. Some chroniclers claimed that this was because a local peasant had uncovered a treasure trove of Roman gold.[121]
|
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On 26 March 1199, Richard was hit in the shoulder by a crossbow, and the wound turned gangrenous.[122] Richard asked to have the crossbowman brought before him; called alternatively Pierre (or Peter) Basile, John Sabroz, Dudo,[123][124] and Bertrand de Gourdon (from the town of Gourdon) by chroniclers, the man turned out (according to some sources, but not all) to be a boy. He said Richard had killed his father and two brothers, and that he had killed Richard in revenge. He expected to be executed, but as a final act of mercy Richard forgave him, saying "Live on, and by my bounty behold the light of day", before he ordered the boy to be freed and sent away with 100 shillings.[125] It is unclear whether the pardon was upheld following his death. Richard then set his affairs in order, bequeathing all his territory to his brother John and his jewels to his nephew Otto.[citation needed]
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Richard died on 6 April 1199 in the arms of his mother, and thus "ended his earthly day."[126] Because of the nature of Richard's death, it was later referred to as "the Lion by the Ant was slain".[127] According to one chronicler, Richard's last act of chivalry proved fruitless when the infamous mercenary captain Mercadier had the boy flayed alive and hanged as soon as Richard died.[128]
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Richard's heart was buried at Rouen in Normandy, his entrails in Châlus (where he died), and the rest of his body at the feet of his father at Fontevraud Abbey in Anjou.[129] In 2012, scientists analysed the remains of Richard's heart and found that it had been embalmed with various substances, including frankincense, a symbolically important substance because it had been present both at the birth and embalming of the Christ.[130]
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Henry Sandford, Bishop of Rochester (1226–1235), announced that he had seen a vision of Richard ascending to Heaven in March 1232 (along with Stephen Langton, the former Archbishop of Canterbury), the King having presumably spent 33 years in purgatory as expiation for his sins.[131]
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Richard produced no legitimate heirs and acknowledged only one illegitimate son, Philip of Cognac. As a result, he was succeeded by his brother John as king.[132] However, his French territories, with the exception of Rouen, initially rejected John as a successor, preferring his nephew Arthur, as how royal inheritance rules applied to the situation at the time of Richard’s death was unclear.[133] The lack of any direct heirs from Richard was the first step in the dissolution of the Angevin Empire.[132]
|
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Contemporaries considered Richard as both a king and a knight famed for personal martial prowess; this was, apparently, the first such instance of this combination.[134] He was known as a valiant, competent military leader and individual fighter who was courageous and generous. At the same time, he was considered prone to the sins of lust, pride, greed, and above all excessive cruelty. Ralph of Coggeshall, summarising Richard's career, deplores that the King was one of "the immense cohort of sinners".[135] He was criticised by clergy chroniclers for having taxed the clergy both for the Crusade and for his ransom, whereas the church and the clergy were usually exempt from taxes.[136]
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Richard was a patron and a protector of the trouvères and troubadours of his entourage; he was also a poet himself.[137][138] He was interested in writing and music, and two poems are attributed to him. The first one is a sirventes in Old French, Dalfin je us voill desrenier, and the second one is a lament that he wrote during his imprisonment at Dürnstein Castle, Ja nus hons pris, with a version in Old Occitan and a version in Old French.[138][139]
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In the historiography of the second half of the 20th century, much interest was shown in Richard's sexuality, in particular whether there was evidence of homosexuality. The topic had not been raised by Victorian or Edwardian historians, a fact which was itself denounced as a "conspiracy of silence" by John Harvey (1948).[140] The argument primarily drew on accounts of Richard's behaviour, as well as of his confessions and penitences, and of his childless marriage.[141] Richard did have at least one illegitimate child, and there are reports on his sexual relations with local women during his campaigns.[142] Historians remain divided on the question of Richard's sexuality.[143] Harvey argued in favour of his homosexuality[144] but has been disputed by other historians, most notably John Gillingham (1994), who argues that Richard was probably heterosexual.[145] Flori (1999) again argued in favour of Richard's homosexuality, based on Richard's two public confessions and penitences (in 1191 and 1195) which, according to Flori, "must have" referred to the sin of sodomy.[146] Flori, however, concedes that contemporary accounts of Richard taking women by force exist,[147] concluding that he probably had sexual relations with both men and women.[148]
|
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Flori and Gillingham nevertheless agree that accounts of bed-sharing do not support the suggestion that Richard had a sexual relationship with King Philip II, as had been suggested by other modern authors.[149]
|
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The second Great Seal of Richard I (1198) shows him bearing a shield depicting three lions passant-guardant. This is the first instance of the appearance of this blazon, which later became established as the Royal Arms of England. It is likely, therefore, that Richard introduced this heraldic design.[150] In his earlier Great Seal of 1189, he had used either one lion rampant or two lions rampants combatants, which arms he may have adopted from his father.[151]
|
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Richard is also credited with having originated the English crest of a lion statant (now statant-guardant).[152] The coat of three lions continues to represent England on several coins of the pound sterling, forms the basis of several emblems of English national sports teams (such as the England national football team, and the team's "Three Lions" anthem),[153] and endures as one of the most recognisable national symbols of England.[154]
|
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Around the middle of the 13th century, various legends developed that, after Richard's capture, his minstrel Blondel travelled Europe from castle to castle, loudly singing a song known only to the two of them (they had composed it together).[155] Eventually, he came to the place where Richard was being held, and Richard heard the song and answered with the appropriate refrain, thus revealing where the King was incarcerated. The story was the basis of André Ernest Modeste Grétry's opera Richard Cœur-de-Lion and seems to be the inspiration for the opening to Richard Thorpe's film version of Ivanhoe. It seems unconnected to the real Jean 'Blondel' de Nesle, an aristocratic trouvère. It also does not correspond to the historical reality, since the King's jailers did not hide the fact; on the contrary, they publicised it.[156] An early account of this legend is to be found in Claude Fauchet's Recueil de l'origine de la langue et poesie françoise (1581).[157]
|
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At some time around the 16th century, tales of Robin Hood started to mention him as a contemporary and supporter of King Richard the Lionheart, Robin being driven to outlawry, during the misrule of Richard's evil brother John, while Richard was away at the Third Crusade.[158]
|
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|
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+
Richard's reputation over the years has "fluctuated wildly", according to historian John Gillingham.[159]
|
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+
While contemporary sources emphasize his stern and unforgiving nature and his excessive cruelty, his image had already been romanticized a few decades after his death, with the new views on Richard depicting him as generous-hearted preux chevalier.[160]
|
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|
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+
Richard left an indelible imprint on the imagination extending to the present, in large part because of his military exploits, and his popular image tended to be dominated by the positive qualities of chivalry and military competence.[134] This is reflected in Steven Runciman's final verdict of Richard I: "he was a bad son, a bad husband, and a bad king, but a gallant and splendid soldier" ("History of the Crusades" Vol. III). Meanwhile, Muslim writers[161] during the Crusades period and after wrote of him: "Never have we had to face a bolder or more subtle opponent".[161]
|
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Victorian England was divided on Richard: many admired him as a crusader and man of God, erecting an heroic statue to him outside the Houses of Parliament. The late-Victorian scholar William Stubbs, on the other hand, thought him "a bad son, a bad husband, a selfish ruler, and a vicious man". During his ten years' reign, he was in England for no more than six months, and was totally absent for the last five years.[159] Stubbs argued that:
|
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+
He was a bad king: his great exploits, his military skill, his splendour and extravagance, his poetical tastes, his adventurous spirit, do not serve to cloak his entire want of sympathy, or even consideration, for his people. He was no Englishman, but it does not follow that he gave to Normandy, Anjou, or Aquitaine the love or care that he denied to his kingdom. His ambition was that of a mere warrior: he would fight for anything whatever, but he would sell everything that was worth fighting for. The glory that he sought was that of victory rather than conquest.[162]
|
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In World War I, when British troops commanded by General Edmund Allenby captured Jerusalem, the British press printed cartoons of Richard looking down from the heavens with the caption reading, "At last my dream has come true".[163] General Allenby protested against his campaign being presented as a latter-day Crusade, however, stating "The importance of Jerusalem lay in its strategic importance, there was no religious impulse in this campaign".[164]
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1 |
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Adolescence (from Latin adolescere, meaning 'to grow up')[1] is a transitional stage of physical and psychological development that generally occurs during the period from puberty to legal adulthood (age of majority).[1][2][3] Adolescence is usually associated with the teenage years,[3][4][5][6] but its physical, psychological or cultural expressions may begin earlier and end later. For example, puberty now typically begins during preadolescence, particularly in females.[4][7][8][9][10] Physical growth (particularly in males) and cognitive development can extend into the early twenties. Thus, age provides only a rough marker of adolescence, and scholars have found it difficult to agree upon a precise definition of adolescence.[7][8][11][12]
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A thorough understanding of adolescence in society depends on information from various perspectives, including psychology, biology, history, sociology, education, and anthropology. Within all of these perspectives, adolescence is viewed as a transitional period between childhood and adulthood, whose cultural purpose is the preparation of children for adult roles.[13] It is a period of multiple transitions involving education, training, employment, and unemployment, as well as transitions from one living circumstance to another.[14]
|
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The end of adolescence and the beginning of adulthood varies by country. Furthermore, even within a single nation, state or culture, there can be different ages at which an individual is considered mature enough for society to entrust them with certain privileges and responsibilities. Such privileges and responsibilities include driving a vehicle, having legal sexual relations, serving in the armed forces or on a jury, purchasing and drinking alcohol, purchase of tobacco products, voting, entering into contracts, finishing certain levels of education, marriage, and accountability for upholding the law. Adolescence is usually accompanied by an increased independence allowed by the parents or legal guardians, including less supervision as compared to preadolescence.
|
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|
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+
In studying adolescent development,[15] adolescence can be defined biologically, as the physical transition marked by the onset of puberty and the termination of physical growth; cognitively, as changes in the ability to think abstractly and multi-dimensionally; or socially, as a period of preparation for adult roles. Major pubertal and biological changes include changes to the sex organs, height, weight, and muscle mass, as well as major changes in brain structure and organization. Cognitive advances encompass both increment in knowledge and in the ability to think abstractly and to reason more effectively. The study of adolescent development often involves interdisciplinary collaborations. For example, researchers in neuroscience or bio-behavioral health might focus on pubertal changes in brain structure and its effects on cognition or social relations. Sociologists interested in adolescence might focus on the acquisition of social roles (e.g., worker or romantic partner) and how this varies across cultures or social conditions.[16] Developmental psychologists might focus on changes in relations with parents and peers as a function of school structure and pubertal status.[17] Some scientists have questioned the universality of adolescence as a developmental phase, arguing that traits often considered typical of adolescents are not in fact inherent to the teenage years.
|
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Puberty is a period of several years in which rapid physical growth and psychological changes occur, culminating in sexual maturity. The average age of onset of puberty is at 11 for girls and 12 for boys.[18][19] Every person's individual timetable for puberty is influenced primarily by heredity, although environmental factors, such as diet and exercise, also exert some influences.[20][21] These factors can also contribute to precocious and delayed puberty.[12][21]
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Some of the most significant parts of pubertal development involve distinctive physiological changes in individuals' height, weight, body composition, and circulatory and respiratory systems.[22] These changes are largely influenced by hormonal activity. Hormones play an organizational role, priming the body to behave in a certain way once puberty begins,[23] and an active role, referring to changes in hormones during adolescence that trigger behavioral and physical changes.[24]
|
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Puberty occurs through a long process and begins with a surge in hormone production, which in turn causes a number of physical changes. It is the stage of life characterized by the appearance and development of secondary sex characteristics (for example, a deeper voice and larger Adam's apple in boys, and development of breasts and more curved and prominent hips in girls) and a strong shift in hormonal balance towards an adult state. This is triggered by the pituitary gland, which secretes a surge of hormonal agents into the blood stream, initiating a chain reaction. The male and female gonads are thereby activated, which puts them into a state of rapid growth and development; the triggered gonads now commence mass production of hormones. The testes primarily release testosterone, and the ovaries predominantly dispense estrogen. The production of these hormones increases gradually until sexual maturation is met. Some boys may develop gynecomastia due to an imbalance of sex hormones, tissue responsiveness or obesity.[25]
|
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|
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+
Facial hair in males normally appears in a specific order during puberty: The first facial hair to appear tends to grow at the corners of the upper lip, typically between 14 and 17 years of age.[26][27] It then spreads to form a moustache over the entire upper lip. This is followed by the appearance of hair on the upper part of the cheeks, and the area under the lower lip.[26] The hair eventually spreads to the sides and lower border of the chin, and the rest of the lower face to form a full beard.[26] As with most human biological processes, this specific order may vary among some individuals. Facial hair is often present in late adolescence, around ages 17 and 18, but may not appear until significantly later.[27][28] Some men do not develop full facial hair for 10 years after puberty.[27] Facial hair continues to get coarser, darker and thicker for another 2–4 years after puberty.[27]
|
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+
The major landmark of puberty for males is spermarche, the first ejaculation, which occurs, on average, at age 13.[29] For females, it is menarche, the onset of menstruation, which occurs, on average, between ages 12 and 13.[20][30][31][32] The age of menarche is influenced by heredity, but a girl's diet and lifestyle contribute as well.[20] Regardless of genes, a girl must have a certain proportion of body fat to attain menarche.[20] Consequently, girls who have a high-fat diet and who are not physically active begin menstruating earlier, on average, than girls whose diet contains less fat and whose activities involve fat reducing exercise (e.g. ballet and gymnastics).[20][21] Girls who experience malnutrition or are in societies in which children are expected to perform physical labor also begin menstruating at later ages.[20]
|
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+
The timing of puberty can have important psychological and social consequences. Early maturing boys are usually taller and stronger than their friends.[33] They have the advantage in capturing the attention of potential partners and in being picked first for sports. Pubescent boys often tend to have a good body image, are more confident, secure, and more independent.[34] Late maturing boys can be less confident because of poor body image when comparing themselves to already developed friends and peers. However, early puberty is not always positive for boys; early sexual maturation in boys can be accompanied by increased aggressiveness due to the surge of hormones that affect them.[34] Because they appear older than their peers, pubescent boys may face increased social pressure to conform to adult norms; society may view them as more emotionally advanced, despite the fact that their cognitive and social development may lag behind their appearance.[34] Studies have shown that early maturing boys are more likely to be sexually active and are more likely to participate in risky behaviors.[35]
|
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|
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+
For girls, early maturation can sometimes lead to increased self-consciousness, a typical aspect in maturing females.[36] Because of their bodies' developing in advance, pubescent girls can become more insecure and dependent.[36] Consequently, girls that reach sexual maturation early are more likely than their peers to develop eating disorders (such as anorexia nervosa). Nearly half of all American high school girls' diets are to lose weight.[36] In addition, girls may have to deal with sexual advances from older boys before they are emotionally and mentally mature.[37] In addition to having earlier sexual experiences and more unwanted pregnancies than late maturing girls, early maturing girls are more exposed to alcohol and drug abuse.[38] Those who have had such experiences tend to not perform as well in school as their "inexperienced" peers.[39]
|
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|
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+
Girls have usually reached full physical development around ages 15–17,[3][19][40] while boys usually complete puberty around ages 16–17.[19][40][41] Any increase in height beyond the post-pubertal age is uncommon. Girls attain reproductive maturity about four years after the first physical changes of puberty appear.[3] In contrast, boys develop more slowly but continue to grow for about six years after the first visible pubertal changes.[34][41]
|
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+
The adolescent growth spurt is a rapid increase in the individual's height and weight during puberty resulting from the simultaneous release of growth hormones, thyroid hormones, and androgens.[42] Males experience their growth spurt about two years later, on average, than females. During their peak height velocity (the time of most rapid growth), adolescents grow at a growth rate nearly identical to that of a toddler—about 10.3 cm (4 inches) per year for males and 9 cm (3.5 inches) per year for females.[43] In addition to changes in height, adolescents also experience a significant increase in weight (Marshall, 1978). The weight gained during adolescence constitutes nearly half of one's adult body weight.[43] Teenage and early adult males may continue to gain natural muscle growth even after puberty.[34]
|
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|
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+
The accelerated growth in different body parts happens at different times, but for all adolescents, it has a fairly regular sequence. The first places to grow are the extremities—the head, hands and feet—followed by the arms and legs, then the torso and shoulders.[44] This non-uniform growth is one reason why an adolescent body may seem out of proportion.
|
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+
During puberty, bones become harder and more brittle. At the conclusion of puberty, the ends of the long bones close during the process called epiphysis. There can be ethnic differences in these skeletal changes. For example, in the United States of America, bone density increases significantly more among black than white adolescents, which might account for decreased likelihood of black women developing osteoporosis and having fewer bone fractures there.[45]
|
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|
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+
Another set of significant physical changes during puberty happen in bodily distribution of fat and muscle. This process is different for females and males. Before puberty, there are nearly no sex differences in fat and muscle distribution; during puberty, boys grow muscle much faster than girls, although both sexes experience rapid muscle development. In contrast, though both sexes experience an increase in body fat, the increase is much more significant for girls. Frequently, the increase in fat for girls happens in their years just before puberty. The ratio between muscle and fat among post-pubertal boys is around three to one, while for girls it is about five to four. This may help explain sex differences in athletic performance.[46]
|
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+
Pubertal development also affects circulatory and respiratory systems as an adolescents' heart and lungs increase in both size and capacity. These changes lead to increased strength and tolerance for exercise. Sex differences are apparent as males tend to develop "larger hearts and lungs, higher systolic blood pressure, a lower resting heart rate, a greater capacity for carrying oxygen to the blood, a greater power for neutralizing the chemical products of muscular exercise, higher blood hemoglobin and more red blood cells".[47]
|
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|
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+
Despite some genetic sex differences, environmental factors play a large role in biological changes during adolescence. For example, girls tend to reduce their physical activity in preadolescence[48][49] and may receive inadequate nutrition from diets that often lack important nutrients, such as iron.[50] These environmental influences, in turn, affect female physical development.
|
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|
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+
Primary sex characteristics are those directly related to the sex organs. In males, the first stages of puberty involve growth of the testes and scrotum, followed by growth of the penis.[51] At the time that the penis develops, the seminal vesicles, the prostate, and the bulbourethral gland also enlarge and develop. The first ejaculation of seminal fluid generally occurs about one year after the beginning of accelerated penis growth, although this is often determined culturally rather than biologically, since for many boys first ejaculation occurs as a result of masturbation.[44] Boys are generally fertile before they have an adult appearance.[42]
|
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+
|
43 |
+
In females, changes in the primary sex characteristics involve growth of the uterus, vagina, and other aspects of the reproductive system. Menarche, the beginning of menstruation, is a relatively late development which follows a long series of hormonal changes.[52] Generally, a girl is not fully fertile until several years after menarche, as regular ovulation follows menarche by about two years.[53] Unlike males, therefore, females usually appear physically mature before they are capable of becoming pregnant.
|
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+
Changes in secondary sex characteristics include every change that is not directly related to sexual reproduction. In males, these changes involve appearance of pubic, facial, and body hair, deepening of the voice, roughening of the skin around the upper arms and thighs, and increased development of the sweat glands. In females, secondary sex changes involve elevation of the breasts, widening of the hips, development of pubic and underarm hair, widening of the areolae, and elevation of the nipples.[54] The changes in secondary sex characteristics that take place during puberty are often referred to in terms of five Tanner stages,[55] named after the British pediatrician who devised the categorization system.
|
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+
|
47 |
+
The human brain is not fully developed by the time a person reaches puberty. Between the ages of 10 and 25, the brain undergoes changes that have important implications for behavior (see Cognitive development below). The brain reaches 90% of its adult size by the time a person is six years of age.[56] Thus, the brain does not grow in size much during adolescence. However, the folding in the brain continues to become more complex until the late teens. The biggest changes in the folds during this time occur in the parts of the cortex that process cognitive and emotional information.[56]
|
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+
|
49 |
+
Over the course of adolescence, the amount of white matter in the brain increases linearly, while the amount of grey matter in the brain follows an inverted-U pattern.[57] Through a process called synaptic pruning, unnecessary neuronal connections in the brain are eliminated and the amount of grey matter is pared down. However, this does not mean that the brain loses functionality; rather, it becomes more efficient due to increased myelination (insulation of axons) and the reduction of unused pathways.[58]
|
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|
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The first areas of the brain to be pruned are those involving primary functions, such as motor and sensory areas. The areas of the brain involved in more complex processes lose matter later in development. These include the lateral and prefrontal cortices, among other regions.[59] Some of the most developmentally significant changes in the brain occur in the prefrontal cortex, which is involved in decision making and cognitive control, as well as other higher cognitive functions. During adolescence, myelination and synaptic pruning in the prefrontal cortex increases, improving the efficiency of information processing, and neural connections between the prefrontal cortex and other regions of the brain are strengthened.[60] This leads to better evaluation of risks and rewards, as well as improved control over impulses. Specifically, developments in the dorsolateral prefrontal cortex are important for controlling impulses and planning ahead, while development in the ventromedial prefrontal cortex is important for decision making. Changes in the orbitofrontal cortex are important for evaluating rewards and risks.
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Three neurotransmitters that play important roles in adolescent brain development are glutamate, dopamine and serotonin. Glutamate is an excitatory neurotransmitter. During the synaptic pruning that occurs during adolescence, most of the neural connections that are pruned contain receptors for glutamate or other excitatory neurotransmitters.[61] Because of this, by early adulthood the synaptic balance in the brain is more inhibitory than excitatory.
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Dopamine is associated with pleasure and attuning to the environment during decision-making. During adolescence, dopamine levels in the limbic system increase and input of dopamine to the prefrontal cortex increases.[62] The balance of excitatory to inhibitory neurotransmitters and increased dopamine activity in adolescence may have implications for adolescent risk-taking and vulnerability to boredom (see Cognitive development below).
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Serotonin is a neuromodulator involved in regulation of mood and behavior. Development in the limbic system plays an important role in determining rewards and punishments and processing emotional experience and social information. Changes in the levels of the neurotransmitters dopamine and serotonin in the limbic system make adolescents more emotional and more responsive to rewards and stress. The corresponding increase in emotional variability also can increase adolescents' vulnerability. The effect of serotonin is not limited to the limbic system: Several serotonin receptors have their gene expression change dramatically during adolescence, particularly in the human frontal and prefrontal cortex
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.[63]
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Adolescence is also a time for rapid cognitive development.[64] Piaget describes adolescence as the stage of life in which the individual's thoughts start taking more of an abstract form and the egocentric thoughts decrease. This allows the individual to think and reason in a wider perspective.[65] A combination of behavioural and fMRI studies have demonstrated development of executive functions, that is, cognitive skills that enable the control and coordination of thoughts and behaviour, which are generally associated with the prefrontal cortex.[66] The thoughts, ideas and concepts developed at this period of life greatly influence one's future life, playing a major role in character and personality formation.[67]
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Biological changes in brain structure and connectivity within the brain interact with increased experience, knowledge, and changing social demands to produce rapid cognitive growth (see Changes in the brain above). The age at which particular changes take place varies between individuals, but the changes discussed below begin at puberty or shortly after that and some skills continue to develop as the adolescent ages. The dual systems model proposes a maturational imbalance between development of the socioemotional system and cognitive control systems in the brain that contribute to impulsivity and other behaviors characteristic of adolescence.[68]
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There are at least two major approaches to understanding cognitive change during adolescence. One is the constructivist view of cognitive development. Based on the work of Piaget, it takes a quantitative, state-theory approach, hypothesizing that adolescents' cognitive improvement is relatively sudden and drastic. The second is the information-processing perspective, which derives from the study of artificial intelligence and attempts to explain cognitive development in terms of the growth of specific components of the thinking process.
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By the time individuals have reached age 15 or so, their basic thinking abilities are comparable to those of adults. These improvements occur in five areas during adolescence:
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Studies since 2005 indicate that the brain is not fully formed until the early twenties.[74]
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Adolescents' thinking is less bound to concrete events than that of children: they can contemplate possibilities outside the realm of what currently exists. One manifestation of the adolescent's increased facility with thinking about possibilities is the improvement of skill in deductive reasoning, which leads to the development of hypothetical thinking. This provides the ability to plan ahead, see the future consequences of an action and to provide alternative explanations of events. It also makes adolescents more skilled debaters, as they can reason against a friend's or parent's assumptions. Adolescents also develop a more sophisticated understanding of probability.
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The appearance of more systematic, abstract thinking is another notable aspect of cognitive development during adolescence. For example, adolescents find it easier than children to comprehend the sorts of higher-order abstract logic inherent in puns, proverbs, metaphors, and analogies. Their increased facility permits them to appreciate the ways in which language can be used to convey multiple messages, such as satire, metaphor, and sarcasm. (Children younger than age nine often cannot comprehend sarcasm at all.)[75] This also permits the application of advanced reasoning and logical processes to social and ideological matters such as interpersonal relationships, politics, philosophy, religion, morality, friendship, faith, fairness, and honesty.
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A third gain in cognitive ability involves thinking about thinking itself, a process referred to as metacognition. It often involves monitoring one's own cognitive activity during the thinking process. Adolescents' improvements in knowledge of their own thinking patterns lead to better self-control and more effective studying. It is also relevant in social cognition, resulting in increased introspection, self-consciousness, and intellectualization (in the sense of thought about one's own thoughts, rather than the Freudian definition as a defense mechanism). Adolescents are much better able than children to understand that people do not have complete control over their mental activity. Being able to introspect may lead to two forms of adolescent egocentrism, which results in two distinct problems in thinking: the imaginary audience and the personal fable. These likely peak at age fifteen, along with self-consciousness in general.[76]
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Related to metacognition and abstract thought, perspective-taking involves a more sophisticated theory of mind.[77] Adolescents reach a stage of social perspective-taking in which they can understand how the thoughts or actions of one person can influence those of another person, even if they personally are not involved.[78]
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Compared to children, adolescents are more likely to question others' assertions, and less likely to accept facts as absolute truths. Through experience outside the family circle, they learn that rules they were taught as absolute are in fact relativistic. They begin to differentiate between rules instituted out of common sense—not touching a hot stove—and those that are based on culturally relative standards (codes of etiquette, not dating until a certain age), a delineation that younger children do not make. This can lead to a period of questioning authority in all domains.[79]
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Wisdom, or the capacity for insight and judgment that is developed through experience,[80] increases between the ages of fourteen and twenty-five, then levels off. Thus, it is during the adolescence–adulthood transition that individuals acquire the type of wisdom that is associated with age. Wisdom is not the same as intelligence: adolescents do not improve substantially on IQ tests since their scores are relative to others in their same age group, and relative standing usually does not change—everyone matures at approximately the same rate in this way.
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Because most injuries sustained by adolescents are related to risky behavior (alcohol consumption and drug use, reckless or distracted driving, unprotected sex), a great deal of research has been done on the cognitive and emotional processes underlying adolescent risk-taking. In addressing this question, it is important to distinguish whether adolescents are more likely to engage in risky behaviors (prevalence), whether they make risk-related decisions similarly or differently than adults (cognitive processing perspective), or whether they use the same processes but value different things and thus arrive at different conclusions.
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The behavioral decision-making theory proposes that adolescents and adults both weigh the potential rewards and consequences of an action. However, research has shown that adolescents seem to give more weight to rewards, particularly social rewards, than do adults.[81]
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Research seems to favor the hypothesis that adolescents and adults think about risk in similar ways, but hold different values and thus come to different conclusions. Some have argued that there may be evolutionary benefits to an increased propensity for risk-taking in adolescence. For example, without a willingness to take risks, teenagers would not have the motivation or confidence necessary to leave their family of origin. In addition, from a population perspective, there is an advantage to having a group of individuals willing to take more risks and try new methods, counterbalancing the more conservative elements more typical of the received knowledge held by older adults.
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Risk-taking may also have reproductive advantages: adolescents have a newfound priority in sexual attraction and dating, and risk-taking is required to impress potential mates. Research also indicates that baseline sensation seeking may affect risk-taking behavior throughout the lifespan.[82][83] Given the potential consequences, engaging in sexual behavior is somewhat risky, particularly for adolescents. Having unprotected sex, using poor birth control methods (e.g. withdrawal), having multiple sexual partners, and poor communication are some aspects of sexual behavior that increase individual and/or social risk.
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Aspects of adolescents' lives that are correlated with risky sexual behavior include higher rates of parental abuse, and lower rates of parental support and monitoring.[84]
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Related to their increased tendency for risk-taking, adolescents show impaired behavioral inhibition, including deficits in extinction learning.[85] This has important implications for engaging in risky behavior such as unsafe sex or illicit drug use, as adolescents are less likely to inhibit actions that may have negative outcomes in the future.[86] This phenomenon also has consequences for behavioral treatments based on the principle of extinction, such as cue exposure therapy for anxiety or drug addiction.[87][88] It has been suggested that impaired inhibition, specifically extinction, may help to explain adolescent propensity to relapse to drug-seeking even following behavioral treatment for addiction.[89]
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The formal study of adolescent psychology began with the publication of G. Stanley Hall's "Adolescence in 1904". Hall, who was the first president of the American Psychological Association, viewed adolescence primarily as a time of internal turmoil and upheaval (sturm und drang). This understanding of youth was based on two then-new ways of understanding human behavior: Darwin's evolutionary theory and Freud's psychodynamic theory. He believed that adolescence was a representation of our human ancestors' phylogenetic shift from being primitive to being civilized. Hall's assertions stood relatively uncontested until the 1950s when psychologists such as Erik Erikson and Anna Freud started to formulate their theories about adolescence. Freud believed that the psychological disturbances associated with youth were biologically based and culturally universal while Erikson focused on the dichotomy between identity formation and role fulfillment.[90] Even with their different theories, these three psychologists agreed that adolescence was inherently a time of disturbance and psychological confusion. The less turbulent aspects of adolescence, such as peer relations and cultural influence, were left largely ignored until the 1980s. From the '50s until the '80s, the focus of the field was mainly on describing patterns of behavior as opposed to explaining them.[90]
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Jean Macfarlane founded the University of California, Berkeley's Institute of Human Development, formerly called the Institute of Child Welfare, in 1927.[91] The Institute was instrumental in initiating studies of healthy development, in contrast to previous work that had been dominated by theories based on pathological personalities.[91] The studies looked at human development during the Great Depression and World War II, unique historical circumstances under which a generation of children grew up. The Oakland Growth Study, initiated by Harold Jones and Herbert Stolz in 1931, aimed to study the physical, intellectual, and social development of children in the Oakland area. Data collection began in 1932 and continued until 1981, allowing the researchers to gather longitudinal data on the individuals that extended past adolescence into adulthood. Jean Macfarlane launched the Berkeley Guidance Study, which examined the development of children in terms of their socioeconomic and family backgrounds.[92] These studies provided the background for Glen Elder in the 1960s to propose a life course perspective of adolescent development. Elder formulated several descriptive principles of adolescent development. The principle of historical time and place states that an individual's development is shaped by the period and location in which they grow up. The principle of the importance of timing in one's life refers to the different impact that life events have on development based on when in one's life they occur. The idea of linked lives states that one's development is shaped by the interconnected network of relationships of which one is a part and the principle of human agency asserts that one's life course is constructed via the choices and actions of an individual within the context of their historical period and social network.[93]
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In 1984, the Society for Research on Adolescence (SRA) became the first official organization dedicated to the study of adolescent psychology. Some of the issues first addressed by this group include: the nature versus nurture debate as it pertains to adolescence; understanding the interactions between adolescents and their environment; and considering culture, social groups, and historical context when interpreting adolescent behavior.[90]
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Evolutionary biologists like Jeremy Griffith have drawn parallels between adolescent psychology and the developmental evolution of modern humans from hominid ancestors as a manifestation of ontogeny recapitulating phylogeny.[94]
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Identity development is a stage in the adolescent life cycle.[95] For most, the search for identity begins in the adolescent years. During these years, adolescents are more open to 'trying on' different behaviours and appearances to discover who they are.[96] In an attempt to find their identity and discover who they are, adolescents are likely to cycle through a number of identities to find one that suits them best. Developing and maintaining identity (in adolescent years) is a difficult task due to multiple factors such as family life, environment, and social status.[95] Empirical studies suggest that this process might be more accurately described as identity development, rather than formation, but confirms a normative process of change in both content and structure of one's thoughts about the self.[97] The two main aspects of identity development are self-clarity and self-esteem.[96] Since choices made during adolescent years can influence later life, high levels of self-awareness and self-control during mid-adolescence will lead to better decisions during the transition to adulthood.[98] Researchers have used three general approaches to understanding identity development: self-concept, sense of identity, and self-esteem. The years of adolescence create a more conscientious group of young adults. Adolescents pay close attention and give more time and effort to their appearance as their body goes through changes. Unlike children, teens put forth an effort to look presentable (1991).[4] The environment in which an adolescent grows up also plays an important role in their identity development. Studies done by the American Psychological Association have shown that adolescents with a less privileged upbringing have a more difficult time developing their identity.[99]
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The idea of self-concept is known as the ability of a person to have opinions and beliefs that are defined confidently, consistent and stable.[100] Early in adolescence, cognitive developments result in greater self-awareness, greater awareness of others and their thoughts and judgments, the ability to think about abstract, future possibilities, and the ability to consider multiple possibilities at once. As a result, adolescents experience a significant shift from the simple, concrete, and global self-descriptions typical of young children; as children, they defined themselves by physical traits whereas adolescents define themselves based on their values, thoughts, and opinions.[101]
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Adolescents can conceptualize multiple "possible selves" that they could become[102] and long-term possibilities and consequences of their choices.[103] Exploring these possibilities may result in abrupt changes in self-presentation as the adolescent chooses or rejects qualities and behaviors, trying to guide the actual self toward the ideal self (who the adolescent wishes to be) and away from the feared self (who the adolescent does not want to be). For many, these distinctions are uncomfortable, but they also appear to motivate achievement through behavior consistent with the ideal and distinct from the feared possible selves.[102][104]
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Further distinctions in self-concept, called "differentiation," occur as the adolescent recognizes the contextual influences on their own behavior and the perceptions of others, and begin to qualify their traits when asked to describe themselves.[105] Differentiation appears fully developed by mid-adolescence.[106] Peaking in the 7th-9th grades, the personality traits adolescents use to describe themselves refer to specific contexts, and therefore may contradict one another. The recognition of inconsistent content in the self-concept is a common source of distress in these years (see Cognitive dissonance),[107] but this distress may benefit adolescents by encouraging structural development.
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Egocentrism in adolescents forms a self-conscious desire to feel important in their peer groups and enjoy social acceptance.[108] Unlike the conflicting aspects of self-concept, identity represents a coherent sense of self stable across circumstances and including past experiences and future goals. Everyone has a self-concept, whereas Erik Erikson argued that not everyone fully achieves identity. Erikson's theory of stages of development includes the identity crisis in which adolescents must explore different possibilities and integrate different parts of themselves before committing to their beliefs. He described the resolution of this process as a stage of "identity achievement" but also stressed that the identity challenge "is never fully resolved once and for all at one point in time".[109] Adolescents begin by defining themselves based on their crowd membership. "Clothes help teens explore new identities, separate from parents, and bond with peers." Fashion has played a major role when it comes to teenagers "finding their selves"; Fashion is always evolving, which corresponds with the evolution of change in the personality of teenagers.[110] Adolescents attempt to define their identity by consciously styling themselves in different manners to find what best suits them. Trial and error in matching both their perceived image and the image others respond to and see, allows for the adolescent to grasp an understanding of who they are.[111]
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Just as fashion is evolving to influence adolescents so is the media. "Modern life takes place amidst a never-ending barrage of flesh on screens, pages, and billboards."[112] This barrage consciously or subconsciously registers into the mind causing issues with self-image a factor that contributes to an adolescence sense of identity. Researcher James Marcia developed the current method for testing an individual's progress along these stages.[113][114] His questions are divided into three categories: occupation, ideology, and interpersonal relationships. Answers are scored based on the extent to which the individual has explored and the degree to which he has made commitments. The result is classification of the individual into a) identity diffusion in which all children begin, b) Identity Foreclosure in which commitments are made without the exploration of alternatives, c) Moratorium, or the process of exploration, or d) Identity Achievement in which Moratorium has occurred and resulted in commitments.[115]
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Research since reveals self-examination beginning early in adolescence, but identity achievement rarely occurring before age 18.[116] The freshman year of college influences identity development significantly, but may actually prolong psychosocial moratorium by encouraging reexamination of previous commitments and further exploration of alternate possibilities without encouraging resolution.[117] For the most part, evidence has supported Erikson's stages: each correlates with the personality traits he originally predicted.[115] Studies also confirm the impermanence of the stages; there is no final endpoint in identity development.[118]
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An adolescent's environment plays a huge role in their identity development.[99] While most adolescent studies are conducted on white, middle class children, studies show that the more privileged upbringing people have, the more successfully they develop their identity.[99] The forming of an adolescent's identity is a crucial time in their life. It has been recently found that demographic patterns suggest that the transition to adulthood is now occurring over a longer span of years than was the case during the middle of the 20th century. Accordingly, youth, a period that spans late adolescence and early adulthood, has become a more prominent stage of the life course. This, therefore, has caused various factors to become important during this development.[119] So many factors contribute to the developing social identity of an adolescent from commitment, to coping devices,[120] to social media. All of these factors are affected by the environment an adolescent grows up in. A child from a more privileged upbringing is exposed to more opportunities and better situations in general. An adolescent from an inner city or a crime-driven neighborhood is more likely to be exposed to an environment that can be detrimental to their development. Adolescence is a sensitive period in the development process, and exposure to the wrong things at that time can have a major effect on future decisions. While children that grow up in nice suburban communities are not exposed to bad environments they are more likely to participate in activities that can benefit their identity and contribute to a more successful identity development.[99]
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Sexual orientation has been defined as "an erotic inclination toward people of one or more genders, most often described as sexual or erotic attractions".[121] In recent years, psychologists have sought to understand how sexual orientation develops during adolescence. Some theorists believe that there are many different possible developmental paths one could take, and that the specific path an individual follows may be determined by their sex, orientation, and when they reached the onset of puberty.[121]
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In 1989, Troiden proposed a four-stage model for the development of homosexual sexual identity.[122] The first stage, known as sensitization, usually starts in childhood, and is marked by the child's becoming aware of same-sex attractions. The second stage, identity confusion, tends to occur a few years later. In this stage, the youth is overwhelmed by feelings of inner turmoil regarding their sexual orientation, and begins to engage in sexual experiences with same-sex partners. In the third stage of identity assumption, which usually takes place a few years after the adolescent has left home, adolescents begin to come out to their family and close friends, and assumes a self-definition as gay, lesbian, or bisexual.[123] In the final stage, known as commitment, the young adult adopts their sexual identity as a lifestyle. Therefore, this model estimates that the process of coming out begins in childhood, and continues through the early to mid 20s. This model has been contested, and alternate ideas have been explored in recent years.
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In terms of sexual identity, adolescence is when most gay/lesbian and transgender adolescents begin to recognize and make sense of their feelings. Many adolescents may choose to come out during this period of their life once an identity has been formed; many others may go through a period of questioning or denial, which can include experimentation with both homosexual and heterosexual experiences.[124] A study of 194 lesbian, gay, and bisexual youths under the age of 21 found that having an awareness of one's sexual orientation occurred, on average, around age 10, but the process of coming out to peers and adults occurred around age 16 and 17, respectively.[125] Coming to terms with and creating a positive LGBT identity can be difficult for some youth for a variety of reasons. Peer pressure is a large factor when youth who are questioning their sexuality or gender identity are surrounded by heteronormative peers and can cause great distress due to a feeling of being different from everyone else. While coming out can also foster better psychological adjustment, the risks associated are real. Indeed, coming out in the midst of a heteronormative peer environment often comes with the risk of ostracism, hurtful jokes, and even violence.[124] Because of this, statistically the suicide rate amongst LGBT adolescents is up to four times higher than that of their heterosexual peers due to bullying and rejection from peers or family members.[126]
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The final major aspect of identity formation is self-esteem. Self-esteem is defined as one's thoughts and feelings about one's self-concept and identity.[127] Most theories on self-esteem state that there is a grand desire, across all genders and ages, to maintain, protect and enhance their self-esteem.[100] Contrary to popular belief, there is no empirical evidence for a significant drop in self-esteem over the course of adolescence.[128] "Barometric self-esteem" fluctuates rapidly and can cause severe distress and anxiety, but baseline self-esteem remains highly stable across adolescence.[129] The validity of global self-esteem scales has been questioned, and many suggest that more specific scales might reveal more about the adolescent experience.[130]
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Girls are most likely to enjoy high self-esteem when engaged in supportive relationships with friends, the most important function of friendship to them is having someone who can provide social and moral support. When they fail to win friends' approval or couldn't find someone with whom to share common activities and common interests, in these cases, girls suffer from low self-esteem. In contrast, boys are more concerned with establishing and asserting their independence and defining their relation to authority.[131] As such, they are more likely to derive high self-esteem from their ability to successfully influence their friends; on the other hand, the lack of romantic competence, for example, failure to win or maintain the affection of the opposite or same-sex (depending on sexual orientation), is the major contributor to low self-esteem in adolescent boys. Due to the fact that both men and women happen to have a low self-esteem after ending a romantic relationship, they are prone to other symptoms that is caused by this state. Depression and hopelessness are only two of the various symptoms and it is said that women are twice as likely to experience depression and men are three to four times more likely to commit suicide (Mearns, 1991; Ustun & Sartorius, 1995).[132]
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The relationships adolescents have with their peers, family, and members of their social sphere play a vital role in the social development of an adolescent. As an adolescent's social sphere develops rapidly as they distinguish the differences between friends and acquaintances, they often become heavily emotionally invested in friends.[133] This is not harmful; however, if these friends expose an individual to potentially harmful situations, this is an aspect of peer pressure. Adolescence is a critical period in social development because adolescents can be easily influenced by the people they develop close relationships with. This is the first time individuals can truly make their own decisions, which also makes this a sensitive period. Relationships are vital in the social development of an adolescent due to the extreme influence peers can have over an individual. These relationships become significant because they begin to help the adolescent understand the concept of personalities, how they form and why a person has that specific type of personality. "The use of psychological comparisons could serve both as an index of the growth of an implicit personality theory and as a component process accounting for its creation. In other words, by comparing one person's personality characteristics to another's, we would be setting up the framework for creating a general theory of personality (and, ... such a theory would serve as a useful framework for coming to understand specific persons)."[134] This can be likened to the use of social comparison in developing one's identity and self-concept, which includes ones personality, and underscores the importance of communication, and thus relationships, in one's development. In social comparison we use reference groups, with respect to both psychological and identity development.[135] These reference groups are the peers of adolescents. This means that who the teen chooses/accepts as their friends and who they communicate with on a frequent basis often makes up their reference groups and can therefore have a huge impact on who they become. Research shows that relationships have the largest affect over the social development of an individual.
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Adolescence marks a rapid change in one's role within a family. Young children tend to assert themselves forcefully, but are unable to demonstrate much influence over family decisions until early adolescence,[136] when they are increasingly viewed by parents as equals. The adolescent faces the task of increasing independence while preserving a caring relationship with his or her parents.[111] When children go through puberty, there is often a significant increase in parent–child conflict and a less cohesive familial bond. Arguments often concern minor issues of control, such as curfew, acceptable clothing, and the adolescent's right to privacy,[137][138] which adolescents may have previously viewed as issues over which their parents had complete authority.[139] Parent-adolescent disagreement also increases as friends demonstrate a greater impact on one another, new influences on the adolescent that may be in opposition to parents' values. Social media has also played an increasing role in adolescent and parent disagreements.[140] While parents never had to worry about the threats of social media in the past, it has become a dangerous place for children. While adolescents strive for their freedoms, the unknowns to parents of what their child is doing on social media sites is a challenging subject, due to the increasing amount of predators on social media sites. Many parents have very little knowledge of social networking sites in the first place and this further increases their mistrust. An important challenge for the parent–adolescent relationship is to understand how to enhance the opportunities of online communication while managing its risks.[100] Although conflicts between children and parents increase during adolescence, these are just relatively minor issues. Regarding their important life issues, most adolescents still share the same attitudes and values as their parents.[141]
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During childhood, siblings are a source of conflict and frustration as well as a support system.[142] Adolescence may affect this relationship differently, depending on sibling gender. In same-sex sibling pairs, intimacy increases during early adolescence, then remains stable. Mixed-sex siblings pairs act differently; siblings drift apart during early adolescent years, but experience an increase in intimacy starting at middle adolescence.[143] Sibling interactions are children's first relational experiences, the ones that shape their social and self-understanding for life.[144] Sustaining positive sibling relations can assist adolescents in a number of ways. Siblings are able to act as peers, and may increase one another's sociability and feelings of self-worth. Older siblings can give guidance to younger siblings, although the impact of this can be either positive or negative depending on the activity of the older sibling.
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A potential important influence on adolescence is change of the family dynamic, specifically divorce. With the divorce rate up to about 50%,[145] divorce is common and adds to the already great amount of change in adolescence. Custody disputes soon after a divorce often reflect a playing out of control battles and ambivalence between parents. Divorce usually results in less contact between the adolescent and their noncustodial parent.[146] In extreme cases of instability and abuse in homes, divorce can have a positive effect on families due to less conflict in the home. However, most research suggests a negative effect on adolescence as well as later development. A recent study found that, compared with peers who grow up in stable post-divorce families, children of divorce who experience additional family transitions during late adolescence, make less progress in their math and social studies performance over time.[147] Another recent study put forth a new theory entitled the adolescent epistemological trauma theory,[148] which posited that traumatic life events such as parental divorce during the formative period of late adolescence portend lifelong effects on adult conflict behavior that can be mitigated by effective behavioral assessment and training.[148] A parental divorce during childhood or adolescence continues to have a negative effect when a person is in his or her twenties and early thirties. These negative effects include romantic relationships and conflict style, meaning as adults, they are more likely to use the styles of avoidance and competing in conflict management.[149]
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Despite changing family roles during adolescence, the home environment and parents are still important for the behaviors and choices of adolescents.[150] Adolescents who have a good relationship with their parents are less likely to engage in various risk behaviors, such as smoking, drinking, fighting, and/or unprotected sexual intercourse.[150]
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In addition, parents influence the education of adolescence. A study conducted by Adalbjarnardottir and Blondal (2009) showed that adolescents at the age of 14 who identify their parents as authoritative figures are more likely to complete secondary education by the age of 22—as support and encouragement from an authoritative parent motivates the adolescence to complete schooling to avoid disappointing that parent.[151]
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Peer groups are essential to social and general development. Communication with peers increases significantly during adolescence and peer relationships become more intense than in other stages[152] and more influential to the teen, affecting both the decisions and choices being made.[153] High quality friendships may enhance children's development regardless of the characteristics of those friends. As children begin to bond with various people and create friendships, it later helps them when they are adolescent and sets up the framework for adolescence and peer groups.[154]
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Peer groups are especially important during adolescence, a period of development characterized by a dramatic increase in time spent with peers[155] and a decrease in adult supervision.[156] Adolescents also associate with friends of the opposite sex much more than in childhood[157] and tend to identify with larger groups of peers based on shared characteristics.[158] It is also common for adolescents to use friends as coping devices in different situations.[159] A three-factor structure of dealing with friends including avoidance, mastery, and nonchalance has shown that adolescents use friends as coping devices with social stresses.
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Communication within peer groups allows adolescents to explore their feelings and identity as well as develop and evaluate their social skills. Peer groups offer members the opportunity to develop social skills such as empathy, sharing, and leadership. Adolescents choose peer groups based on characteristics similarly found in themselves.[111] By utilizing these relationships, adolescents become more accepting of who they are becoming. Group norms and values are incorporated into an adolescent's own self-concept.[153] Through developing new communication skills and reflecting upon those of their peers, as well as self-opinions and values, an adolescent can share and express emotions and other concerns without fear of rejection or judgment. Peer groups can have positive influences on an individual, such as on academic motivation and performance. However, while peers may facilitate social development for one another they may also hinder it. Peers can have negative influences, such as encouraging experimentation with drugs, drinking, vandalism, and stealing through peer pressure.[160] Susceptibility to peer pressure increases during early adolescence, peaks around age 14, and declines thereafter.[161] Further evidence of peers hindering social development has been found in Spanish teenagers, where emotional (rather than solution-based) reactions to problems and emotional instability have been linked with physical aggression against peers.[162] Both physical and relational aggression are linked to a vast number of enduring psychological difficulties, especially depression, as is social rejection.[163] Because of this, bullied adolescents often develop problems that lead to further victimization.[164] Bullied adolescents are more likely to both continue to be bullied and to bully others in the future.[165] However, this relationship is less stable in cases of cyberbullying, a relatively new issue among adolescents.
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Adolescents tend to associate with "cliques" on a small scale and "crowds" on a larger scale. During early adolescence, adolescents often associate in cliques, exclusive, single-sex groups of peers with whom they are particularly close. Despite the common[according to whom?] notion that cliques are an inherently negative influence, they may help adolescents become socially acclimated and form a stronger sense of identity. Within a clique of highly athletic male-peers, for example, the clique may create a stronger sense of fidelity and competition. Cliques also have become somewhat a "collective parent", i.e. telling the adolescents what to do and not to do.[166] Towards late adolescence, cliques often merge into mixed-sex groups as teenagers begin romantically engaging with one another.[167] These small friend groups then break down further as socialization becomes more couple-oriented. On a larger scale, adolescents often associate with crowds, groups of individuals who share a common interest or activity. Often, crowd identities may be the basis for stereotyping young people, such as jocks or nerds. In large, multi-ethnic high schools, there are often ethnically determined crowds.[168] Adolescents use online technology to experiment with emerging identities and to broaden their peer groups, such as increasing the amount of friends acquired on Facebook and other social media sites.[153] Some adolescents use these newer channels to enhance relationships with peers however there can be negative uses as well such as cyberbullying, as mentioned previously, and negative impacts on the family.[169]
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Romantic relationships tend to increase in prevalence throughout adolescence. By age 15, 53% of adolescents have had a romantic relationship that lasted at least one month over the course of the previous 18 months.[170] In a 2008 study conducted by YouGov for Channel 4, 20% of 14−17-year-olds surveyed revealed that they had their first sexual experience at 13 or under in the United Kingdom.[171] A 2002 American study found that those aged 15–44 reported that the average age of first sexual intercourse was 17.0 for males and 17.3 for females.[172] The typical duration of relationships increases throughout the teenage years as well. This constant increase in the likelihood of a long-term relationship can be explained by sexual maturation and the development of cognitive skills necessary to maintain a romantic bond (e.g. caregiving, appropriate attachment), although these skills are not strongly developed until late adolescence.[173] Long-term relationships allow adolescents to gain the skills necessary for high-quality relationships later in life[174] and develop feelings of self-worth. Overall, positive romantic relationships among adolescents can result in long-term benefits. High-quality romantic relationships are associated with higher commitment in early adulthood[175] and are positively associated with self-esteem, self-confidence, and social competence.[176][177] For example, an adolescent with positive self-confidence is likely to consider themselves a more successful partner, whereas negative experiences may lead to low confidence as a romantic partner.[178] Adolescents often date within their demographic in regards to race, ethnicity, popularity, and physical attractiveness.[179] However, there are traits in which certain individuals, particularly adolescent girls, seek diversity. While most adolescents date people approximately their own age, boys typically date partners the same age or younger; girls typically date partners the same age or older.[170]
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Some researchers are now focusing on learning about how adolescents view their own relationships and sexuality; they want to move away from a research point of view that focuses on the problems associated with adolescent sexuality.[why?] College Professor Lucia O'Sullivan and her colleagues found that there were no significant gender differences in the relationship events adolescent boys and girls from grades 7–12 reported.[180] Most teens said they had kissed their partners, held hands with them, thought of themselves as being a couple and told people they were in a relationship. This means that private thoughts about the relationship as well as public recognition of the relationship were both important to the adolescents in the sample. Sexual events (such as sexual touching, sexual intercourse) were less common than romantic events (holding hands) and social events (being with one's partner in a group setting). The researchers state that these results are important because the results focus on the more positive aspects of adolescents and their social and romantic interactions rather than focusing on sexual behavior and its consequences.[180]
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Adolescence marks a time of sexual maturation, which manifests in social interactions as well. While adolescents may engage in casual sexual encounters (often referred to as hookups), most sexual experience during this period of development takes place within romantic relationships.[181] Adolescents can use technologies and social media to seek out romantic relationships as they feel it is a safe place to try out dating and identity exploration. From these social media encounters, a further relationship may begin.[153] Kissing, hand holding, and hugging signify satisfaction and commitment. Among young adolescents, "heavy" sexual activity, marked by genital stimulation, is often associated with violence, depression, and poor relationship quality.[182][183] This effect does not hold true for sexual activity in late adolescence that takes place within a romantic relationship.[184] Some research suggest that there are genetic causes of early sexual activity that are also risk factors for delinquency, suggesting that there is a group who are at risk for both early sexual activity and emotional distress. For older adolescents, though, sexual activity in the context of romantic relationships was actually correlated with lower levels of deviant behavior after controlling for genetic risks, as opposed to sex outside of a relationship (hook-ups).[185]
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Dating violence is fairly prevalent within adolescent relationships. When surveyed, 10-45% of adolescents reported having experienced physical violence in the context of a relationship while a quarter to a third of adolescents reported having experiencing psychological aggression. This reported aggression includes hitting, throwing things, or slaps, although most of this physical aggression does not result in a medical visit. Physical aggression in relationships tends to decline from high school through college and young adulthood. In heterosexual couples, there is no significant difference between the rates of male and female aggressors, unlike in adult relationships.[186][187][188]
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Adolescent girls with male partners who are older than them are at higher risk for adverse sexual health outcomes than their peers. Research suggests that the larger the partner age difference, the less relationship power the girls experience. Behavioral interventions such as developing relationship skills in identifying, preventing, and coping with controlling behaviors may be beneficial. For condom use promotion, it is important to identify decision-making patterns within relationships and increase the power of the adolescent female in the relationship.[189] Female adolescents from minority populations are at even higher risk for intimate partner violence (IPV). Recent research findings suggest that a substantial portion of young urban females are at high risk for being victims of multiple forms of IPV. Practitioners diagnosing depression among urban minority teens should assess for both physical and non-physical forms of IPV, and early detection can help to identify youths in need of intervention and care.[190][191] Similarly to adult victims, adolescent victims do not readily disclose abuse, and may seek out medical care for problems not directly related to incidences of IPV. Therefore, screening should be a routine part of medical treatment for adolescents regardless of chief complaint. Many adults discount instances of IPV in adolescents or believe they do not occur because relationships at young ages are viewed as “puppy love,” however, it is crucial that adults take IPV in adolescents seriously even though often policy falls behind.[192]
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In contemporary society, adolescents also face some risks as their sexuality begins to transform. While some of these, such as emotional distress (fear of abuse or exploitation) and sexually transmitted infections/diseases (STIs/STDs), including HIV/AIDS, are not necessarily inherent to adolescence, others such as teenage pregnancy (through non-use or failure of contraceptives) are seen as social problems in most western societies. One in four sexually active teenagers will contract an STI.[193] Adolescents in the United States often chose "anything but intercourse" for sexual activity because they mistakenly believe it reduces the risk of STIs. Across the country, clinicians report rising diagnoses of herpes and human papillomavirus (HPV), which can cause genital warts, and is now thought to affect 15 percent of the teen population. Girls 15 to 19 have higher rates of gonorrhea than any other age group. One-quarter of all new HIV cases occur in those under the age of 21.[193] Multrine also states in her article that according to a March survey by the Kaiser Family Foundation, eighty-one percent of parents want schools to discuss the use of condoms and contraception with their children. They also believe students should be able to be tested for STIs. Furthermore, teachers want to address such topics with their students. But, although 9 in 10 sex education instructors across the country believe that students should be taught about contraceptives in school, over one quarter report receiving explicit instructions from school boards and administrators not to do so. According to anthropologist Margaret Mead, the turmoil found in adolescence in Western society has a cultural rather than a physical cause; they reported that societies where young women engaged in free sexual activity had no such adolescent turmoil.
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There are certain characteristics of adolescent development that are more rooted in culture than in human biology or cognitive structures. Culture has been defined as the "symbolic and behavioral inheritance received from the past that provides a community framework for what is valued".[194] Culture is learned and socially shared, and it affects all aspects of an individual's life.[195] Social responsibilities, sexual expression, and belief system development, for instance, are all things that are likely to vary by culture. Furthermore, distinguishing characteristics of youth, including dress, music and other uses of media, employment, art, food and beverage choices, recreation, and language, all constitute a youth culture.[195] For these reasons, culture is a prevalent and powerful presence in the lives of adolescents, and therefore we cannot fully understand today's adolescents without studying and understanding their culture.[195] However, "culture" should not be seen as synonymous with nation or ethnicity. Many cultures are present within any given country and racial or socioeconomic group. Furthermore, to avoid ethnocentrism, researchers must be careful not to define the culture's role in adolescence in terms of their own cultural beliefs.[196]
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In Britain, teenagers first came to public attention during the Second World War, when there were fears of juvenile delinquency.[197] By the 1950s, the media presented teenagers in terms of generational rebellion. The exaggerated moral panic among politicians and the older generation was typically belied by the growth in intergenerational cooperation between parents and children. Many working-class parents, enjoying newfound economic security, eagerly took the opportunity to encourage their teens to enjoy more adventurous lives.[198] Schools were falsely portrayed as dangerous blackboard jungles under the control of rowdy kids.[199] The media distortions of the teens as too affluent, and as promiscuous, delinquent, counter-cultural rebels do not reflect the actual experiences of ordinary young adults, particularly young women.[200]
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The degree to which adolescents are perceived as autonomous beings varies widely by culture, as do the behaviors that represent this emerging autonomy. Psychologists have identified three main types of autonomy: emotional independence, behavioral autonomy, and cognitive autonomy.[201] Emotional autonomy is defined in terms of an adolescent's relationships with others, and often includes the development of more mature emotional connections with adults and peers.[201] Behavioral autonomy encompasses an adolescent's developing ability to regulate his or her own behavior, to act on personal decisions, and to self-govern. Cultural differences are especially visible in this category because it concerns issues of dating, social time with peers, and time-management decisions.[201] Cognitive autonomy describes the capacity for an adolescent to partake in processes of independent reasoning and decision-making without excessive reliance on social validation.[201] Converging influences from adolescent cognitive development, expanding social relationships, an increasingly adultlike appearance, and the acceptance of more rights and responsibilities enhance feelings of autonomy for adolescents.[201] Proper development of autonomy has been tied to good mental health, high self-esteem, self-motivated tendencies, positive self-concepts, and self-initiating and regulating behaviors.[201] Furthermore, it has been found that adolescents' mental health is best when their feelings about autonomy match closely with those of their parents.[202]
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A questionnaire called the teen timetable has been used to measure the age at which individuals believe adolescents should be able to engage in behaviors associated with autonomy.[203] This questionnaire has been used to gauge differences in cultural perceptions of adolescent autonomy, finding, for instance, that White parents and adolescents tend to expect autonomy earlier than those of Asian descent.[203] It is, therefore, clear that cultural differences exist in perceptions of adolescent autonomy, and such differences have implications for the lifestyles and development of adolescents. In sub-Saharan African youth, the notions of individuality and freedom may not be useful in understanding adolescent development. Rather, African notions of childhood and adolescent development are relational and interdependent.[204]
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The lifestyle of an adolescent in a given culture is profoundly shaped by the roles and responsibilities he or she is expected to assume. The extent to which an adolescent is expected to share family responsibilities is one large determining factor in normative adolescent behavior. For instance, adolescents in certain cultures are expected to contribute significantly to household chores and responsibilities.[205] Household chores are frequently divided into self-care tasks and family-care tasks. However, specific household responsibilities for adolescents may vary by culture, family type, and adolescent age.[206] Some research has shown that adolescent participation in family work and routines has a positive influence on the development of an adolescent's feelings of self-worth, care, and concern for others.[205]
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In addition to the sharing of household chores, certain cultures expect adolescents to share in their family's financial responsibilities. According to family economic and financial education specialists, adolescents develop sound money management skills through the practices of saving and spending money, as well as through planning ahead for future economic goals.[207] Differences between families in the distribution of financial responsibilities or provision of allowance may reflect various social background circumstances and intrafamilial processes, which are further influenced by cultural norms and values, as well as by the business sector and market economy of a given society.[208] For instance, in many developing countries it is common for children to attend fewer years of formal schooling so that, when they reach adolescence, they can begin working.[209]
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While adolescence is a time frequently marked by participation in the workforce, the number of adolescents in the workforce is much lower now than in years past as a result of increased accessibility and perceived importance of formal higher education.[210] For example, half of all 16-year-olds in China were employed in 1980, whereas less than one fourth of this same cohort were employed in 1990.[210]
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Furthermore, the amount of time adolescents spend on work and leisure activities varies greatly by culture as a result of cultural norms and expectations, as well as various socioeconomic factors. American teenagers spend less time in school or working and more time on leisure activities—which include playing sports, socializing, and caring for their appearance—than do adolescents in many other countries.[211] These differences may be influenced by cultural values of education and the amount of responsibility adolescents are expected to assume in their family or community.
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Time management, financial roles, and social responsibilities of adolescents are therefore closely connected with the education sector and processes of career development for adolescents, as well as to cultural norms and social expectations. In many ways, adolescents' experiences with their assumed social roles and responsibilities determine the length and quality of their initial pathway into adult roles.[212]
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Adolescence is frequently characterized by a transformation of an adolescent's understanding of the world, the rational direction towards a life course, and the active seeking of new ideas rather than the unquestioning acceptance of adult authority.[213] An adolescent begins to develop a unique belief system through his or her interaction with social, familial, and cultural environments.[214] While organized religion is not necessarily a part of every adolescent's life experience, youth are still held responsible for forming a set of beliefs about themselves, the world around them, and whatever higher powers they may or may not believe in.[213] This process is often accompanied or aided by cultural traditions that intend to provide a meaningful transition to adulthood through a ceremony, ritual, confirmation, or rite of passage.[215]
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Many cultures define the transition into adultlike sexuality by specific biological or social milestones in an adolescent's life. For example, menarche (the first menstrual period of a female), or semenarche (the first ejaculation of a male) are frequent sexual defining points for many cultures. In addition to biological factors, an adolescent's sexual socialization is highly dependent upon whether their culture takes a restrictive or permissive attitude toward teen or premarital sexual activity. In the United States specifically, adolescents are said to have "raging hormones" that drive their sexual desires. These sexual desires are then dramatized regarding teen sex and seen as "a site of danger and risk; that such danger and risk is a source of profound worry among adults".[216] There is little to no normalization regarding teenagers having sex in the U.S., which causes conflict in how adolescents are taught about sex education. There is a constant debate about whether abstinence-only sex education or comprehensive sex education should be taught in schools and this stems back to whether or not the country it is being taught in is permissive or restrictive. Restrictive cultures overtly discourage sexual activity in unmarried adolescents or until an adolescent undergoes a formal rite of passage. These cultures may attempt to restrict sexual activity by separating males and females throughout their development, or through public shaming and physical punishment when sexual activity does occur.[167][217] In less restrictive cultures, there is more tolerance for displays of adolescent sexuality, or of the interaction between males and females in public and private spaces. Less restrictive cultures may tolerate some aspects of adolescent sexuality, while objecting to other aspects. For instance, some cultures find teenage sexual activity acceptable but teenage pregnancy highly undesirable. Other cultures do not object to teenage sexual activity or teenage pregnancy, as long as they occur after marriage.[218] In permissive societies, overt sexual behavior among unmarried teens is perceived as acceptable, and is sometimes even encouraged.[218] Regardless of whether a culture is restrictive or permissive, there are likely to be discrepancies in how females versus males are expected to express their sexuality. Cultures vary in how overt this double standard is—in some it is legally inscribed, while in others it is communicated through social convention.[219] Lesbian, gay, bisexual and transgender youth face much discrimination through bullying from those unlike them and may find telling others that they are gay to be a traumatic experience.[220] The range of sexual attitudes that a culture embraces could thus be seen to affect the beliefs, lifestyles, and societal perceptions of its adolescents.
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Adolescence is a period frequently marked by increased rights and privileges for individuals. While cultural variation exists for legal rights and their corresponding ages, considerable consistency is found across cultures. Furthermore, since the advent of the Convention on the Rights of the Child in 1989 (children here defined as under 18), almost every country in the world (except the U.S. and South Sudan) has legally committed to advancing an anti-discriminatory stance towards young people of all ages. This includes protecting children against unchecked child labor, enrollment in the military, prostitution, and pornography.
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In many societies, those who reach a certain age (often 18, though this varies) are considered to have reached the age of majority and are legally regarded as adults who are responsible for their actions. People below this age are considered minors or children. A person below the age of majority may gain adult rights through legal emancipation.
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The legal working age in Western countries is usually 14 to 16, depending on the number of hours and type of employment under consideration. Many countries also specify a minimum school leaving age, at which a person is legally allowed to leave compulsory education. This age varies greatly cross-culturally, spanning from 10 to 18, which further reflects the diverse ways formal education is viewed in cultures around the world.
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In most democratic countries, a citizen is eligible to vote at age 18. In a minority of countries, the voting age is as low as 16 (for example, Brazil), and at one time was as high as 25 in Uzbekistan.
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The age of consent to sexual activity varies widely between jurisdictions, ranging from 12 to 20 years, as does the age at which people are allowed to marry.[221] Specific legal ages for adolescents that also vary by culture are enlisting in the military, gambling, and the purchase of alcohol, cigarettes or items with parental advisory labels.
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The legal coming of age often does not correspond with the sudden realization of autonomy; many adolescents who have legally reached adult age are still dependent on their guardians or peers for emotional and financial support. Nonetheless, new legal privileges converge with shifting social expectations to usher in a phase of heightened independence or social responsibility for most legal adolescents.
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Following a steady decline beginning in the late 1990s up through the mid-2000s and a moderate increase in the early 2010s, illicit drug use among adolescents has roughly plateaued in the U.S. Aside from alcohol, marijuana is the most commonly indulged drug habit during adolescent years. Data collected by the National Institute on Drug Abuse shows that between the years of 2015 and 2018, past year marijuana usage among 8th graders declined from 11.8% to 10.5%; among 10th grade students, usage rose from 25.4% to 27.50%; and among 12th graders, usage rose slightly from 34.9% to 35.9%.[222] Additionally, while the early 2010s saw a surge in the popularity of MDMA, usage has stabilized with 2.2% of 12th graders using MDMA in the past year in the U.S.[222] The heightened usage of ecstasy most likely ties in at least to some degree with the rising popularity of rave culture.
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One significant contribution to the increase in teenage substance abuse is an increase in the availability of prescription medication. With an increase in the diagnosis of behavioral and attentional disorders for students, taking pharmaceutical drugs such as Vicodin and Adderall for pleasure has become a prevalent activity among adolescents: 9.9% of high school seniors report having abused prescription drugs within the past year.[222]
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In the U.S., teenage alcohol use rose in the late 2000s and is currently stable at a moderate level. Out of a polled body of U.S. students age 12–18, 8.2% of 8th graders reported having been on at least one occasion having consumed alcohol within the previous month; for 10th graders, the number was 18.6%, and for 12th graders, 30.2%.[223] More drastically, cigarette smoking has become a far less prevalent activity among American middle- and high-school students; in fact, a greater number of teens now smoke marijuana than smoke cigarettes, with one recent study showing a respective 23.8% versus 43.6% of surveyed high school seniors.[223] Recent studies have shown that male late adolescents are far more likely to smoke cigarettes rather than females. The study indicated that there was a discernible gender difference in the prevalence of smoking among the students. The finding of the study shows that more males than females began smoking when they were in primary and high schools whereas most females started smoking after high school.[224] This may be attributed to recent changing social and political views towards marijuana; issues such as medicinal use and legalization have tended towards painting the drug in a more positive light than historically, while cigarettes continue to be vilified due to associated health risks.
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Different drug habits often relate to one another in a highly significant manner. It has been demonstrated that adolescents who drink at least to some degree may be as much as sixteen times more likely than non-drinkers to experiment with illicit drugs.[225]
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Peer acceptance and social norms gain a significantly greater hand in directing behavior at the onset of adolescence; as such, the alcohol and illegal drug habits of teens tend to be shaped largely by the substance use of friends and other classmates. In fact, studies suggest that more significantly than actual drug norms, an individual's perception of the illicit drug use by friends and peers is highly associated with his or her own habits in substance use during both middle and high school, a relationship that increases in strength over time.[226] Whereas social influences on alcohol use and marijuana use tend to work directly in the short term, peer and friend norms on smoking cigarettes in middle school have a profound effect on one's own likelihood to smoke cigarettes well into high school.[226] Perhaps the strong correlation between peer influence in middle school and cigarette smoking in high school may be explained by the addictive nature of cigarettes, which could lead many students to continue their smoking habits from middle school into late adolescence.
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Until mid-to-late adolescence, boys and girls show relatively little difference in drinking motives.[227] Distinctions between the reasons for alcohol consumption of males and females begin to emerge around ages 14–15; overall, boys tend to view drinking in a more social light than girls, who report on average a more frequent use of alcohol as a coping mechanism.[227] The latter effect appears to shift in late adolescence and onset of early adulthood (20–21 years of age); however, despite this trend, age tends to bring a greater desire to drink for pleasure rather than coping in both boys and girls.[227]
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Drinking habits and the motives behind them often reflect certain aspects of an individual's personality; in fact, four dimensions of the Five-Factor Model of personality demonstrate associations with drinking motives (all but 'Openness'). Greater enhancement motives for alcohol consumption tend to reflect high levels of extraversion and sensation-seeking in individuals; such enjoyment motivation often also indicates low conscientiousness, manifesting in lowered inhibition and a greater tendency towards aggression. On the other hand, drinking to cope with negative emotional states correlates strongly with high neuroticism and low agreeableness.[227] Alcohol use as a negative emotion control mechanism often links with many other behavioral and emotional impairments, such as anxiety, depression, and low self-esteem.[227]
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Research has generally shown striking uniformity across different cultures in the motives behind teen alcohol use. Social engagement and personal enjoyment appear to play a fairly universal role in adolescents' decision to drink throughout separate cultural contexts. Surveys conducted in Argentina, Hong Kong, and Canada have each indicated the most common reason for drinking among adolescents to relate to pleasure and recreation; 80% of Argentinian teens reported drinking for enjoyment, while only 7% drank to improve a bad mood.[227] The most prevalent answers among Canadian adolescents were to "get in a party mood," 18%; "because I enjoy it," 16%; and "to get drunk," 10%.[227] In Hong Kong, female participants most frequently reported drinking for social enjoyment, while males most frequently reported drinking to feel the effects of alcohol.[227]
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Much research has been conducted on the psychological ramifications of body image on adolescents. Modern day teenagers are exposed to more media on a daily basis than any generation before them. As such, modern day adolescents are exposed to many representations of ideal, societal beauty. The concept of a person being unhappy with their own image or appearance has been defined as "body dissatisfaction". In teenagers, body dissatisfaction is often associated with body mass, low self-esteem, and atypical eating patterns that can result in health procedures.[228][229] Scholars continue to debate the effects of media on body dissatisfaction in teens.[230][231]
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Because exposure to media has increased over the past decade, adolescents' use of computers, cell phones, stereos and televisions to gain access to various mediums of popular culture has also increased. Almost all American households have at least one television, more than three-quarters of all adolescents' homes have access to the Internet, and more than 90% of American adolescents use the Internet at least occasionally.[232] As a result of the amount of time adolescents spend using these devices, their total media exposure is high. In the last decade, the amount of time that adolescents spend on the computer has greatly increased.[233] Online activities with the highest rates of use among adolescents are video games (78% of adolescents), email (73%), instant messaging (68%), social networking sites (65%), news sources (63%), music (59%), and videos (57%).
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In the 2000s, social networking sites proliferated and a high proportion of adolescents used them: as of 2012 73% of 12–17 year olds reported having at least one social networking profile;[234] two-thirds (68%) of teens texted every day, half (51%) visited social networking sites daily, and 11% sent or received tweets at least once every day. More than a third (34%) of teens visited their main social networking site several times a day. One in four (23%) teens were "heavy" social media users, meaning they used at least two different types of social media each and every day.[235]
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Although research has been inconclusive, some findings have indicated that electronic communication negatively affects adolescents' social development, replaces face-to-face communication, impairs their social skills, and can sometimes lead to unsafe interaction with strangers. A 2015 review reported that "adolescents lack awareness of strategies to cope with cyberbullying, which has been consistently associated with an increased likelihood of depression."[236] Studies have shown differences in the ways the internet negatively impacts the adolescents' social functioning. Online socializing tends to make girls particularly vulnerable, while socializing in Internet cafés seems only to affect boys academic achievement. However, other research suggests that Internet communication brings friends closer and is beneficial for socially anxious teens, who find it easier to interact socially online.[237] The more conclusive finding has been that Internet use has a negative effect on the physical health of adolescents, as time spent using the Internet replaces time doing physical activities. However, the Internet can be significantly useful in educating teens because of the access they have to information on many various topics.
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A broad way of defining adolescence is the transition from child-to-adulthood. According to Hogan & Astone (1986), this transition can include markers such as leaving school, starting a full-time job, leaving the home of origin, getting married, and becoming a parent for the first time.[238] However, the time frame of this transition varies drastically by culture. In some countries, such as the United States, adolescence can last nearly a decade, but in others, the transition—often in the form of a ceremony—can last for only a few days.[239]
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Some examples of social and religious transition ceremonies that can be found in the U.S., as well as in other cultures around the world, are Confirmation, Bar and Bat Mitzvahs, Quinceañeras, sweet sixteens, cotillions, and débutante balls. In other countries, initiation ceremonies play an important role, marking the transition into adulthood or the entrance into adolescence. This transition may be accompanied by obvious physical changes, which can vary from a change in clothing to tattoos and scarification.[218] Furthermore, transitions into adulthood may also vary by gender, and specific rituals may be more common for males or for females. This illuminates the extent to which adolescence is, at least in part, a social construction; it takes shape differently depending on the cultural context, and may be enforced more by cultural practices or transitions than by universal chemical or biological physical changes.
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At the decision-making point of their lives, youth are susceptible to drug addiction, sexual abuse, peer pressure, violent crimes and other illegal activities. Developmental Intervention Science (DIS) is a fusion of the literature of both developmental and intervention sciences. This association conducts youth interventions that mutually assist both the needs of the community as well as psychologically stranded youth by focusing on risky and inappropriate behaviors while promoting positive self-development along with self-esteem among adolescents.[240]
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The concept of adolescence has been criticized by experts, such as Robert Epstein, who state that an undeveloped brain is not the main cause of teenagers' turmoils.[241][242] Some have criticized the concept of adolescence because it is a relatively recent phenomenon in human history created by modern society,[243][244][245][246] and have been highly critical of what they view as the infantilization of young adults in American society.[247] In an article for Scientific American, Robert Epstein and Jennifer Ong state that "American-style teen turmoil is absent in more than 100 cultures around the world, suggesting that such mayhem is not biologically inevitable. Second, the brain itself changes in response to experiences, raising the question of whether adolescent brain characteristics are the cause of teen tumult or rather the result of lifestyle and experiences."[248] David Moshman has also stated in regards to adolescence that brain research "is crucial for a full picture, but it does not provide an ultimate explanation."[249]
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Other critics of the concept of adolescence do point at individual differences in brain growth rate, citing that some (though not all) early teens still have infantile undeveloped corpus callosums, concluding that "the adult in *every* adolescent" is too generalizing. These people tend to support the notion that a more interconnected brain makes more precise distinctions (citing Pavlov's comparisons of conditioned reflexes in different species) and that there is a non-arbitrary threshold at which distinctions become sufficiently precise to correct assumptions afterward as opposed to being ultimately dependent on exterior assumptions for communication. They argue that this threshold is the one at which an individual is objectively capable of speaking for himself or herself, as opposed to culturally arbitrary measures of "maturity" which often treat this ability as a sign of "immaturity" merely because it leads to questioning of authorities. These people also stress the low probability of the threshold being reached at a birthday, and instead advocate non-chronological emancipation at the threshold of afterward correction of assumptions.[250] They sometimes cite similarities between "adolescent" behavior and KZ syndrome (inmate behavior in adults in prison camps) such as aggression being explainable by oppression and "immature" financial or other risk behavior being explainable by a way out of captivity being more worth to captive people than any incremental improvement in captivity, and argue that this theory successfully predicted remaining "immature" behavior after reaching the age of majority by means of longer-term traumatization. In this context, they refer to the fallibility of official assumptions about what is good or bad for an individual, concluding that paternalistic "rights" may harm the individual. They also argue that since it never took many years to move from one group to another to avoid inbreeding in the paleolithic, evolutionary psychology is unable to account for a long period of "immature" risk behavior.[251]
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Bashar Hafez al-Assad (Arabic: بشار حافظ الأسد Baššār Ḥāfiẓ al-ʾAsad, Levantine pronunciation: [baʃˈʃaːr ˈħaːfezˤ elˈʔasad]; English pronunciation (help·info); born 11 September 1965) is a Syrian politician who has been the President of Syria since 17 July 2000. In addition, he is commander-in-chief of the Syrian Armed Forces and Regional Secretary of the Arab Socialist Ba'ath Party's branch in Syria. His father, Hafez al-Assad, was President of Syria from 1971 to 2000.
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Born and raised in Damascus, Assad graduated from the medical school of Damascus University in 1988 and began to work as a doctor in the Syrian Army. Four years later, he attended postgraduate studies at the Western Eye Hospital in London, specialising in ophthalmology. In 1994, after his elder brother Bassel died in a car crash, Bashar was recalled to Syria to take over Bassel's role as heir apparent. He entered the military academy, taking charge of the Syrian military presence in Lebanon in 1998.
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Political scientists have characterized the Assad family's rule of Syria as a personalist dictatorship.[2][3][4][5][6][7] On 17 July 2000, Assad became President, succeeding his father, who died in office a month prior. In the uncontested and non-democratic 2000 and 2007 elections he received 97.29% and 97.6% support, respectively.[8][9][10][11][12][13] On 16 July 2014, Assad was sworn in for another seven-year term after another non-democratic election gave Assad 88.7% of the vote.[14][15][16][17][18][19] The election was held only in areas controlled by the Syrian government during the country's ongoing civil war and was criticized by the UN, the Syrian opposition and Western countries,[20][21] while Syria's allies, including Iran, Russia and Venezuela, stated that the election was "free and fair".[22][23][24] The Assad government describes itself as secular,[25] while some political scientists have claimed that the government exploits sectarian tensions in the country and relies upon the Alawite minority to remain in power.[26][27]
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Once seen by many states as a potential reformer, the United States, the European Union and the majority of the Arab League called for Assad's resignation from the presidency in 2011 after he ordered crackdowns and military sieges on Arab Spring protesters, which led to the Syrian Civil War.[28][29] In December 2013, the UN High Commissioner for Human Rights Navi Pillay stated that findings from an inquiry by the United Nations implicated Assad in war crimes.[30] The OPCW-UN Joint Investigative Mechanism concluded in October 2017 that Assad's government was responsible for the Khan Shaykhun chemical attack.[31] In June 2014, the American Syrian Accountability Project included Assad on a list of war crimes indictments of government officials and rebels it sent to the International Criminal Court.[32] Assad has rejected allegations of war crimes and criticised the American-led intervention in Syria for attempting regime change.[33][34]
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Bashar Hafez al-Assad was born in Damascus on 11 September 1965, the second oldest son of Anisa Makhlouf and Hafez al-Assad.[35] Al-Assad in Arabic means "the Lion". Assad's paternal grandfather, Ali Sulayman al-Assad, had managed to change his status from peasant to minor notable and, to reflect this, in 1927 he had changed the family name from Wahsh (meaning "Savage") to Al-Assad.[36]
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Assad's father, Hafez, was born to an impoverished rural family of Alawite background and rose through the Ba'ath Party ranks to take control of the Syrian branch of the Party in the 1970 Corrective Revolution, culminating in his rise to the Syrian presidency.[37] Hafez promoted his supporters within the Ba'ath Party, many of whom were also of Alawite background.[35][38] After the revolution, Alawite strongmen were installed while Sunnis, Druzes, and Ismailis were removed from the army and Ba'ath party.[39]
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The younger Assad had five siblings, three of whom are deceased. A sister named Bushra died in infancy.[40] Assad's youngest brother, Majd, was not a public figure and little is known about him other than he was intellectually disabled,[41] and died in 2009 after a "long illness".[42]
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Unlike his brothers Bassel and Maher, and second sister, also named Bushra, Bashar was quiet, reserved and lacked interest in politics or the military.[43][41][44] The Assad children reportedly rarely saw their father,[45] and Bashar later stated that he only entered his father's office once while he was president.[46] He was described as "soft-spoken",[47] and according to a university friend, he was timid, avoided eye contact and speaking in a low voice.[48]
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Assad received his primary and secondary education in the Arab-French al-Hurriya School in Damascus.[43] In 1982, he graduated from high school and then studied medicine at Damascus University.[49]
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In 1988, Assad graduated from medical school and began working as an army doctor at the Tishrin Military Hospital on the outskirts of Damascus.[50][51] Four years later, he settled in London to start postgraduate training in ophthalmology at the Western Eye Hospital.[52] He was described as a "geeky I.T. guy" during his time in London.[53] Bashar had few political aspirations,[54] and his father had been grooming Bashar's older brother Bassel as the future president.[55] However, Bassel died in a car accident in 1994 and Bashar was recalled to the Syrian Army shortly thereafter.
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Soon after the death of Bassel, Hafez al-Assad decided to make Bashar the new heir apparent.[56] Over the next six and a half years, until his death in 2000, Hafez prepared Bashar for taking overpower. Preparations for a smooth transition were made on three levels. First, support was built up for Bashar in the military and security apparatus. Second, Bashar's image was established with the public. And lastly, Bashar was familiarised with the mechanisms of running the country.[57]
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To establish his credentials in the military, Bashar entered the military academy at Homs in 1994 and was propelled through the ranks to become a colonel of the elite Syrian Republican Guard in January 1999.[50][58][59] To establish a power base for Bashar in the military, old divisional commanders were pushed into retirement, and new, young, Alawite officers with loyalties to him took their place.[60]
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In 1998, Bashar took charge of Syria's Lebanon file, which had since the 1970s been handled by Vice President Abdul Halim Khaddam, who had until then been a potential contender for president.[60] By taking charge of Syrian affairs in Lebanon, Bashar was able to push Khaddam aside and establish his own power base in Lebanon.[61] In the same year, after minor consultation with Lebanese politicians, Bashar installed Emile Lahoud, a loyal ally of his, as the President of Lebanon and pushed former Lebanese Prime Minister Rafic Hariri aside, by not placing his political weight behind his nomination as prime minister.[62] To further weaken the old Syrian order in Lebanon, Bashar replaced the long-serving de facto Syrian High Commissioner of Lebanon, Ghazi Kanaan, with Rustum Ghazaleh.[63]
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Parallel to his military career, Bashar was engaged in public affairs. He was granted wide powers and became head of the bureau to receive complaints and appeals of citizens, and led a campaign against corruption. As a result of this campaign, many of Bashar's potential rivals for president were put on trial for corruption.[50] Bashar also became the President of the Syrian Computer Society and helped to introduce the internet in Syria, which aided his image as a moderniser and reformer.[64]
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Member State of the Arab League (Suspended)
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Asia portal
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History portal
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After the death of Hafez al-Assad on 10 June 2000, the Constitution of Syria was amended; the minimum age requirement for the presidency was lowered from 40 to 34, which was Bashar's age at the time.[65] Assad was then confirmed president on 10 July 2000, with 97.29% support for his leadership.[8][9][10] In line with his role as President of Syria, he was also appointed the commander-in-chief of the Syrian Armed Forces and Regional Secretary of the Ba'ath Party.[64]
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Immediately after he took office, a reform movement made cautious advances during the Damascus Spring, which led to the shut down of Mezzeh prison and the declaration of a wide-ranging amnesty releasing hundreds of Muslim Brotherhood affiliated political prisoners.[66] However, security crackdowns commenced again within the year.[67][68] Many analysts stated that reform under Assad had been inhibited by the "old guard", members of the government loyal to his late father.[64]
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During the War on terror, Assad allied his country with the West. Syria was a major site of extraordinary rendition by the CIA of al-Qaeda suspects, who were interrogated in Syrian prisons.[69][70][71]
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Soon after Assad assumed power, he "made Syria's link with Hezbollah – and its patrons in Tehran – the central component of his security doctrine",[72] and in his foreign policy, Assad is an outspoken critic of the United States, Israel, Saudi Arabia, and Turkey.[73]
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In 2005 Rafic Hariri, the former prime minister of Lebanon was assassinated. The Christian Science Monitor reported that "Syria was widely blamed for Hariri's murder. In the months leading to the assassination, relations between Hariri and Syrian President Bashar al-Assad plummeted amid an atmosphere of threats and intimidation."[74] The BBC reported in December 2005 that an interim United Nations report "implicated Syrian officials", while "Damascus has strongly denied involvement in the car bomb which killed Hariri in February".[75]
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On 27 May 2007, Assad was approved for another seven-year term in a referendum on his presidency, with 97.6% of the votes supporting his continued leadership.[76] Opposition parties were not allowed in the country and Assad was the only candidate in the referendum.[10]
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Mass protests in Syria began on 26 January 2011. Protesters called for political reforms and the reinstatement of civil rights, as well as an end to the state of emergency which had been in place since 1963.[77] One attempt at a "day of rage" was set for 4–5 February, though it ended uneventfully.[78] Protests on 18–19 March were the largest to take place in Syria for decades, and the Syrian authority responded with violence against its protesting citizens.[79]
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The U.S. imposed limited sanctions against the Assad government in April 2011, followed by Barack Obama's executive order as of 18 May 2011 targeting Bashar Assad specifically and six other senior officials.[80][81][82] On 23 May 2011, the EU foreign ministers agreed at a meeting in Brussels to add Assad and nine other officials to a list affected by travel bans and asset freezes.[83] On 24 May 2011, Canada imposed sanctions on Syrian leaders, including Assad.[84]
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On 20 June, in response to the demands of protesters and foreign pressure, Assad promised a national dialogue involving movement toward reform, new parliamentary elections, and greater freedoms. He also urged refugees to return home from Turkey, while assuring them amnesty and blaming all unrest on a small number of saboteurs.[85] Assad blamed the unrest on "conspiracies" and accused the Syrian opposition and protestors of "fitna", breaking with the Syrian Ba'ath Party's strict tradition of secularism.[86]
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In July 2011, U.S. Secretary of State Hillary Clinton said Assad had "lost legitimacy" as President.[81] On 18 August 2011, Barack Obama issued a written statement that urged Assad to "step aside".[87][88]
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In August, the cartoonist Ali Farzat, a critic of Assad's government, was attacked. Relatives of the humourist told media outlets that the attackers threatened to break Farzat's bones as a warning for him to stop drawing cartoons of government officials, particularly Assad. Farzat was hospitalised with fractures in both hands and blunt force trauma to the head.[89][90]
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Since October 2011, Russia, as a permanent member of the UN Security Council, repeatedly vetoed Western-sponsored draft resolutions in the UN Security Council that would have left open the possibility of UN sanctions, or even military intervention, against the Assad government.[91][92][93]
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By the end of January 2012, it was reported by Reuters that over 5,000 civilians and protesters (including armed militants) had been killed by the Syrian army, security agents and militia (Shabiha), while 1,100 people had been killed by "terrorist armed forces".[94]
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On 10 January 2012, Assad gave a speech in which he maintained the uprising was engineered by foreign countries and proclaimed that "victory [was] near". He also said that the Arab League, by suspending Syria, revealed that it was no longer Arab. However, Assad also said the country would not "close doors" to an Arab-brokered solution if "national sovereignty" was respected. He also said a referendum on a new constitution could be held in March.[95]
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On 27 February 2012, Syria claimed that a proposal that a new constitution be drafted received 90% support during the relevant referendum. The referendum introduced a fourteen-year cumulative term limit for the president of Syria. The referendum was pronounced meaningless by foreign nations including the U.S. and Turkey; the European Union announced fresh sanctions against key regime figures.[96] In July 2012, Russian Foreign Minister Sergey Lavrov denounced Western powers for what he said amounted to blackmail thus provoking a civil war in Syria.[97]
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On 15 July 2012, the International Committee of the Red Cross declared Syria to be in a state of civil war,[98] as the nationwide death toll for all sides was reported to have neared 20,000.[99]
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On 6 January 2013, Assad, in his first major speech since June, said that the conflict in his country was due to "enemies" outside of Syria who would "go to Hell" and that they would "be taught a lesson". However, he said that he was still open to a political solution saying that failed attempts at a solution "does not mean we are not interested in a political solution."[100][101]
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After the fall of four military bases in September 2014,[102] which were the last government footholds in the Raqqa Governorate, Assad received significant criticism from his Alawite base of support.[103] This included remarks made by Douraid al-Assad, cousin of Bashar al-Assad, demanding the resignation of the Syrian Defence Minister, Fahd Jassem al-Freij, following the massacre by the Islamic State of Iraq and the Levant of hundreds of government troops captured after the ISIL victory at Tabqa Airbase.[104] This was shortly followed by Alawite protests in Homs demanding the resignation of the governor,[105] and the dismissal of Assad's cousin Hafez Makhlouf from his security position leading to his subsequent exile to Belarus.[106] Growing resentment towards Assad among Alawites was fuelled by the disproportionate number of soldiers killed in fighting hailing from Alawite areas,[107] a sense that the Assad regime has abandoned them,[108] as well as the failing economic situation.[109] Figures close to Assad began voicing concerns regarding the likelihood of its survival, with one saying in late 2014; "I don't see the current situation as sustainable ... I think Damascus will collapse at some point."[102]
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In 2015, several members of the Assad family died in Latakia under unclear circumstances.[110] On 14 March, an influential cousin of Assad and founder of the shabiha, Mohammed Toufic al-Assad, was assassinated with five bullets to the head in a dispute over influence in Qardaha—the ancestral home of the Assad family.[111] In April 2015, Assad ordered the arrest of his cousin Munther al-Assad in Alzirah, Latakia.[112] It remains unclear whether the arrest was due to actual crimes.[113]
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After a string of government defeats in northern and southern Syria, analysts noted growing government instability coupled with continued waning support for the Assad government among its core Alawite base of support,[114] and that there were increasing reports of Assad relatives, Alawites, and businessmen fleeing Damascus for Latakia and foreign countries.[115][116] Intelligence chief Ali Mamlouk was placed under house arrest sometime in April and stood accused of plotting with Assad's exiled uncle Rifaat al-Assad to replace Bashar as president.[117] Further high-profile deaths included the commanders of the Fourth Armoured Division, the Belli military airbase, the army's special forces and of the First Armoured Division, with an errant air strike during the Palmyra offensive killing two officers who were reportedly related to Assad.[118]
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In early September 2015, against the backdrop of reports that Russia was deploying troops in Syria ready for combat, Russian President Vladimir Putin said that while such talk was "premature", Russia was "already providing Syria with sufficiently serious help: with both equipment and training soldiers, with our weapons".[119][120] Shortly after the start of direct military intervention by Russia on 30 September 2015 at the formal request of the Syrian government, Putin stated the military operation had been thoroughly prepared in advance and defined Russia's goal in Syria as "stabilising the legitimate power in Syria and creating the conditions for political compromise".[121]
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In November 2015, Assad reiterated that a diplomatic process to bring the country's civil war to an end could not begin while it was occupied by "terrorists", although it was considered by BBC News to be unclear whether he meant only ISIL or Western-supported rebels as well.[122] On 22 November, Assad said that within two months of its air campaign Russia had achieved more in its fight against ISIL than the U.S.-led coalition had achieved in a year.[123] In an interview with Česká televize on 1 December, he said that the leaders who demanded his resignation were of no interest to him, as nobody takes them seriously because they are "shallow" and controlled by the U.S.[124][125] At the end of December 2015, senior U.S. officials privately admitted that Russia had achieved its central goal of stabilising Syria and, with the expenses relatively low, could sustain the operation at this level for years to come.[126]
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In January 2016, Putin stated that Russia was supporting Assad's forces and was ready to back anti-Assad rebels as long as they were fighting ISIL.[127] On 11 January 2016, the senior Russian defense ministry official said that the "Russian air force was striking in support of eleven groups of democratic opposition that number over seven thousand people."[128]
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On 22 January 2016, the Financial Times, citing anonymous "senior western intelligence officials", claimed that Russian general Igor Sergun, the director of GRU, the Main Intelligence Directorate of the General Staff of the Armed Forces of the Russian Federation, had shortly before his sudden death on 3 January 2016 been sent to Damascus with a message from Vladimir Putin asking that President Assad step aside.[129] The Financial Times' report was promptly denied by Putin's spokesman.[130]
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It was reported in December 2016 that Assad's forces had retaken half of rebel-held Aleppo, ending a 6-year stalemate in the city.[131][132] On 15 December, as it was reported government forces were on the brink of retaking all of Aleppo—a "turning point" in the Civil War, Assad celebrated the "liberation" of the city, and stated, "History is being written by every Syrian citizen."[133]
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After the election of Donald Trump, the priority of the United States concerning Assad was unlike the priority of the Obama administration, and in March 2017 United States Ambassador to the United Nations Nikki Haley stated the U.S. was no longer focused on "getting Assad out",[134] but this position changed in the wake of the 2017 Khan Shaykhun chemical attack.[135] Following the missile strikes on a Syrian airbase on the orders of President Trump, Assad's spokesperson described the United States' behaviour as "unjust and arrogant aggression" and stated that the missile strikes "do not change the deep policies" of the Syrian government.[136] President Assad also told the Agence France-Presse that Syria's military had given up all its chemical weapons in 2013, and would not have used them if they still retained any, and stated that the chemical attack was a "100 percent fabrication" used to justify a U.S. airstrike.[137] In June 2017, Russian President Putin said "Assad didn't use the [chemical weapons]" and that the chemical attack was "done by people who wanted to blame him for that."[138] United Nations and international chemical weapons inspectors found the attack was the work of the Assad regime.[31]
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On 7 November 2017, the Syrian government announced that it had signed the Paris Climate Agreement.[139]
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According to ABC News, as a result of the Syrian Civil War, "government-controlled Syria is truncated in size, battered and impoverished".[140] Economic sanctions (the Syria Accountability Act) were applied long before the Syrian Civil War by the United States and were joined by the European Union at the outbreak of the civil war, causing disintegration of the Syrian economy.[141] These sanctions were reinforced in October 2014 by the EU and U.S.[142][143] Industry in parts of the country that are still held by the government is heavily state-controlled, with economic liberalisation being reversed during the current conflict.[144] The London School of Economics has stated that as a result of the Syrian Civil War, a war economy has developed in Syria.[145] A 2014 European Council on Foreign Relations report also stated that a war economy has formed:
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Three years into a conflict that is estimated to have killed at least 140,000 people from both sides, much of the Syrian economy lies in ruins. As the violence has expanded and sanctions have been imposed, assets and infrastructure have been destroyed, economic output has fallen, and investors have fled the country. Unemployment now exceeds 50 percent and half of the population lives below the poverty line ... against this backdrop, a war economy is emerging that is creating significant new economic networks and business activities that feed off the violence, chaos, and lawlessness gripping the country. This war economy – to which Western sanctions have inadvertently contributed – is creating incentives for some Syrians to prolong the conflict and making it harder to end it.[146]
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A United Nations commissioned report by the Syrian Centre for Policy Research states that two-thirds of the Syrian population now lives in "extreme poverty".[147] Unemployment stands at 50 percent.[148] In October 2014, a $50 million mall opened in Tartus which provoked criticism from government supporters and was seen as part of an Assad government policy of attempting to project a sense of normalcy throughout the civil war.[149] A government policy to give preference to families of slain soldiers for government jobs was cancelled after it caused an uproar[107] while rising accusations of corruption caused protests.[109] In December 2014, the EU banned sales of jet fuel to the Assad government, forcing the government to buy more expensive uninsured jet fuel shipments in the future.[150]
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A 2007 law required internet cafés to record all the comments users post on chat forums.[151] Websites such as Arabic Wikipedia, YouTube, and Facebook were blocked intermittently between 2008 and February 2011.[152][153][154]
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Human Rights groups, such as Human Rights Watch and Amnesty International, have detailed how the Assad government's secret police allegedly tortured, imprisoned, and killed political opponents, and those who speak out against the government.[155][156] In addition, some 600 Lebanese political prisoners are thought to be held in government prisons since the Syrian occupation of Lebanon, with some held for as long as over 30 years.[157] Since 2006, the Assad government has expanded the use of travel bans against political dissidents.[158] In an interview with ABC News in 2007, Assad stated: "We don't have such [things as] political prisoners," though The New York Times reported the arrest of 30 Syrian political dissidents who were organising a joint opposition front in December 2007, with 3 members of this group considered to be opposition leaders being remanded in custody.[159]
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In 2010, Syria banned face veils at universities.[160][161] Following the Syrian uprising in 2011, Assad partially relaxed the veil ban.[162]
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Foreign Policy magazine released an editorial on Assad's position in the wake of the 2011 protests:[163]
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During its decades of rule... the Assad family developed a strong political safety net by firmly integrating the military into the government. In 1970, Hafez al-Assad, Bashar's father, seized power after rising through the ranks of the Syrian armed forces, during which time he established a network of loyal Alawites by installing them in key posts. In fact, the military, ruling elite, and ruthless secret police are so intertwined that it is now impossible to separate the Assad government from the security establishment.... So... the government and its loyal forces have been able to deter all but the most resolute and fearless oppositional activists. In this respect, the situation in Syria is to a certain degree comparable to Saddam Hussein's strong Sunni minority rule in Iraq.
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The Federal Bureau of Investigation has stated that at least 10 European citizens were tortured by the Assad government while detained during the Syrian Civil War, potentially leaving Assad open to prosecution by individual European countries for war crimes.[164] Stephen Rapp, the United States Ambassador-at-Large for War Crimes Issues, has argued that the crimes allegedly committed by Assad are the worst seen since those of Nazi Germany.[165] In March 2015, Rapp further stated that the case against Assad is "much better" than those against Slobodan Milošević of Serbia or Charles Taylor of Liberia, both of whom were indicted by international tribunals.[166]
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In a February 2015 interview with the BBC, Assad described accusations that the Syrian Arab Air Force used barrel bombs as "childish", stating that his forces have never used these types of "barrel" bombs and responded with a joke about not using "cooking pots" either.[167] The BBC Middle East editor conducting the interview, Jeremy Bowen, later described Assad's statement regarding barrel bombs as "patently not true".[168][169]
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Nadim Shehadi, the director of The Fares Center for Eastern Mediterranean Studies, stated that "In the early 1990s, Saddam Hussein was massacring his people and we were worried about the weapons inspectors," and claimed that "Assad did that too. He kept us busy with chemical weapons when he massacred his people."[170][171]
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In September 2015, France began an inquiry into Assad for crimes against humanity, with French Foreign Minister Laurent Fabius stating "Faced with these crimes that offend the human conscience, this bureaucracy of horror, faced with this denial of the values of humanity, it is our responsibility to act against the impunity of the killers".[172]
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In February 2016, head of the UN Commission of Inquiry on Syria, Paulo Pinheiro, told reporters: "The mass scale of deaths of detainees suggests that the government of Syria is responsible for acts that amount to extermination as a crime against humanity." The UN Commission reported finding "unimaginable abuses", including women and children as young as seven perishing while being held by Syrian authorities. The report also stated: "There are reasonable grounds to believe that high-ranking officers—including the heads of branches and directorates—commanding these detention facilities, those in charge of the military police, as well as their civilian superiors, knew of the vast number of deaths occurring in detention facilities ... yet did not take action to prevent abuse, investigate allegations or prosecute those responsible".[173]
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In March 2016, the United States House Committee on Foreign Affairs led by New Jersey Rep. Chris Smith called on the Obama administration to create a war crimes tribunal to investigate and prosecute violations "whether committed by the officials of the Government of Syria or other parties to the civil war".[174]
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In April 2017, there was a sarin chemical attack on Khan Sheikhoun that killed more than 80 people. The attack prompted US President Donald Trump to order the US military to launch 59 missiles at a Syrian airbase.[175] Several months later, a joint report from the United Nations and international chemical weapons inspectors found the attack was the work of the Assad regime.[31]
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In April 2018, an alleged chemical attack occurred in Douma, prompting the U.S. and its and allies to accuse Assad of violating international laws and initiating the 2018 bombing of Damascus and Homs. Both Syria and Russia denied the involvement of the Syrian government at this time.[176][177]
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In June 2018, Germany's chief prosecutor issued an international arrest warrant for one of Assad's most senior military officials, Jamil Hassan.[178] Hassan is the head of Syria's powerful Air Force Intelligence Directorate. Detention centers run by Air Force Intelligence are among the most notorious in Syria, and thousands are believed to have died because of torture or neglect. Charges filed against Hassan claim he had command responsibility over the facilities and therefore knew of the abuse. The move against Hassan marked an important milestone of prosecutors trying to bring senior members of Assad's inner circle to trial for war crimes.
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In June 2019, United States Deputy Assistant Secretary of Defense Michael Mulroy stated that the United States “will respond quickly and appropriately,” if the regime uses chemical weapons again. He added that Bashar al-Assad has done more than any other to destabilize the region by "murdering his own people" and that both Russia and the Syrian regime have shown no concern for the suffering of the Syrian people creating one of the "worst humanitarian tragedies in history".[179]
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Assad opposed the 2003 invasion of Iraq despite a long-standing animosity between the Syrian and Iraqi governments. Assad used Syria's seat in one of the rotating positions on the United Nations Security Council to try to prevent the invasion of Iraq.[180]
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According to veteran U.S intelligence officer Malcolm Nance, the Syrian government had developed deep relations with former Vice Chairman of the Iraqi Revolutionary Command Council Izzat Ibrahim al-Douri. Despite the historical differences between the two Ba'ath factions, al-Douri reportedly urged Saddam to open oil pipelines with Syria, building a financial relationship with the Assad family. After the 2003 Invasion of Iraq, al-Douri allegedly fled to Damascus where he organised the National Command of the Islamic Resistance which co-ordinated major combat operations during the Iraqi insurgency.[181][182] In 2009, General David Petraeus, who was at the time heading the United States Central Command, told reporters from Al Arabiya that al-Douri was residing in Syria.[183]
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The U.S commander of the coalition forces in Iraq, George W. Casey Jr., accused Assad of providing funding, logistics, and training to insurgents in Iraq to launch attacks against U.S. and allied forces occupying Iraq.[184] Iraqi leaders such as former national security advisor Mowaffak al-Rubaie and former Prime Minister Nouri al-Maliki have accused Assad of harbouring and supporting Iraqi militants.[185][186]
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Diplomatic relations with Egypt were re-established in 2005 under his rule. In 1978, his father Hafez al-Assad severed diplomatic relations with the country after Egyptian President Anwar Sadat signed a peace treaty with Israel in the Camp David Accords.[citation needed] However, at the outset of the Arab Spring, Syrian state media focused primarily upon Hosni Mubarak of Egypt, demonising him as pro-U.S. and comparing him unfavourably with Assad.[187] Assad told The Wall Street Journal in this same period that he considered himself "anti-Israel" and "anti-West", and that because of these policies he was not in danger of being overthrown.[73]
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Following the election of Muslim Brotherhood politician Mohamed Morsi as the next Egyptian president, relations became extremely strained. The Muslim Brotherhood is a banned organisation and its membership is a capital offence in Syria. Egypt severed all relations with Syria in June 2013.[citation needed] Diplomatic relations were restored and the embassies reopened after Morsi regime was deposed just weeks later by current President Abdel Fattah el-Sisi. In July 2013, the two countries agreed to reopen the Egyptian consulate in Damascus and the Syrian consulate in Cairo.[188]
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In late-November 2016, some Arab media outlets reported Egyptian pilots arrived in mid-November to Syria to help the Syrian government in its fight against the Islamic State and Al Nusra front.[189] This came after Sisi publicly stated he supports the Syrian military in the civil war in Syria.[190] However, several days later, Egypt officially denied it has a military presence in Syria.[191]
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Although Egypt has not been vocal in support for any sides of Syria's ongoing civil war, Abdel Fattah el-Sisi said in 2016 that his nation's priority is "supporting national armies", which he said included the Syrian Armed Forces.[192] He also said regarding Egypt's stance in the conflict: "Our stance in Egypt is to respect the will of the Syrian people, and that a political solution to the Syrian crisis is the most suitable way, and to seriously deal with terrorist groups and disarm them".[192] Egypt's support for a political solution was reaffirmed in February 2017. Egypt's Foreign Ministry spokesperson, Ahmed Abu Zeid, said that Egyptian foreign minister Sameh Shoukry, "during his meeting with UN Special Envoy to Syria, Staffan de Mistura, on Saturday confirmed Egypt’s rejection of any military intervention that would violate Syrian sovereignty and undermine opportunities of the standing political solutions.”[193]
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Egypt has also expressed great interest in rebuilding postwar Syria, with many Egyptian companies and businessmen discussing investment opportunities in Syria as well as participation in the reconstruction effort. Tarik al-Nabrawi, president of Egypt's Engineers Syndicate said that 2018 will witness a “boom and influential role for Egyptian construction companies in Syria and to open the door for other companies — in the electricity, building material, steel, aluminum, ceramics and sanitary material fields among others — to work in the Syrian market and participate in rebuilding cities and facilities that the war has destroyed.”[194] On 25 February 2018, Syrian state news reported that an Egyptian delegation composed of "members of the Islamic and Arab Assembly for supporting Resistance and Future Pioneers movement as well as a number of figures", including Jamal Zahran and Farouk Hassan, visited the Syrian consulate in Cairo to express solidarity with the Syrian government.[195][better source needed]
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On March 5, 2005, Assad announced that Syrian forces would begin its withdrawal from Lebanon in his address to the Syrian parliament.[196] Syria completed its full withdrawal from Lebanon on April 30, 2005.[197]
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Assad argued that Syria's gradual withdrawal of troops from Lebanon was a result of the assassination of Lebanese Prime Minister Rafic Hariri.[198] According to testimony submitted to the Special Tribunal for Lebanon, when talking to Rafic Hariri at the Presidential Palace in Damascus in August 2004, Assad allegedly said to him, "I will break Lebanon over your [Hariri's] head and over Walid Jumblatt's head" if Émile Lahoud was not allowed to remain in office despite Hariri's objections; that incident was thought to be linked to Hariri's subsequent assassination.[199] In early 2015, journalist and ad hoc Lebanese-Syrian intermediary Ali Hamade stated before the Special Tribunal for Lebanon that Rafic Hariri's attempts to reduce tensions with Syria were considered a "mockery" by Assad.[200]
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Assad's position was considered by some to have been weakened by the withdrawal of Syrian troops from Lebanon following the Cedar Revolution in 2005. There has also been pressure from the U.S. concerning claims that Syria is linked to terrorist networks, exacerbated by Syrian condemnation of the assassination of Hezbollah military leader, Imad Mughniyah, in Damascus in 2008. Interior Minister Bassam Abdul-Majeed stated that "Syria, which condemns this cowardly terrorist act, expresses condolences to the martyr family and to the Lebanese people."[201]
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In May 2015, Lebanese politician Michel Samaha was sentenced to four-and-a-half years in jail for his role in a terrorist bomb plot that he claimed Assad was aware of.[202]
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The United States, the European Union, the March 14 Alliance, and France accuse Assad of providing support to militant groups active against Israel and opposition political groups. The latter category would include most political parties other than Hezbollah, Hamas, and the Islamic Jihad Movement in Palestine.[203]
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In a speech about the 2006 Lebanon War in August 2006, Assad said that Hezbollah had "hoisted the banner of victory", hailing its actions as a "successful resistance".[204]
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In April 2008, Assad told a Qatari newspaper that Syria and Israel had been discussing a peace treaty for a year. This was confirmed in May 2008, by a spokesman for Israeli Prime Minister Ehud Olmert. As well as the treaty, the future of the Golan Heights was being discussed. Assad was quoted in The Guardian as telling the Qatari paper:
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... there would be no direct negotiations with Israel until a new US president takes office. The US was the only party qualified to sponsor any direct talks, [Assad] told the paper, but added that the Bush administration "does not have the vision or will for the peace process. It does not have anything."[205]
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According to leaked American cables, Assad called Hamas an "uninvited guest" and said "If you want me to be effective and active, I have to have a relationship with all parties. Hamas is Muslim Brotherhood, but we have to deal with the reality of their presence," comparing Hamas to the Syrian Muslim Brotherhood which was crushed by his father, Hafez al-Assad. He also said Hamas would disappear if peace was brought to the Middle East.[206][207]
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Assad has indicated that the peace treaty that he envisions would not be the same kind of peace treaty Israel has with Egypt, where there is a legal border crossing and open trade. In a 2006 interview with Charlie Rose, Assad said: "There is a big difference between talking about a peace treaty and peace. A peace treaty is like a permanent ceasefire. There's no war, maybe you have an embassy, but you actually won't have trade, you won't have normal relations because people will not be sympathetic to this relation as long as they are sympathetic with the Palestinians: half a million who live in Syria and half a million in Lebanon and another few millions in other Arab countries."[198]
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During the visit of Pope John Paul II to Syria in 2001, Assad requested an apology to Muslims for the Crusades and criticised Israeli treatment of Palestinians, stating that "territories in Lebanon, the Golan and Palestine have been occupied by those who killed the principle of equality when they claimed that God created a people distinguished above all other peoples".[208] He also compared the suffering of Palestinians at the hands of the Israelis to the suffering endured by Jesus in Judea, and said that "they tried to kill the principles of all religions with the same mentality in which they betrayed Jesus Christ and the same way they tried to betray and kill the Prophet Muhammad".[209][210][211][212] Responding to accusations that his comment was antisemitic, Assad said that "We in Syria reject the term antisemitism. ... Semites are a race and [Syrians] not only belong to this race, but are its core. Judaism, on the other hand, is a religion which can be attributed to all races."[213] He also stated that "I was talking about Israelis, not Jews. ... When I say Israel carries out killings, it's the reality: Israel tortures Palestinians. I didn't speak about Jews," and criticised Western media outlets for misinterpreting his comments.[214]
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In February 2011, Assad backed an initiative to restore ten synagogues in Syria, which had a Jewish community numbering 30,000 in 1947, but only 200 Jews by 2011.[215]
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Assad met with U.S. scientists and policy leaders during a science diplomacy visit in 2009, and he expressed interest in building research universities and using science and technology to promote innovation and economic growth.[216]
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In response to Executive Order 13769 which mandated refugees from Syria be indefinitely suspended from being able to resettle in the United States, Assad appeared to defend the measure, stating "It's against the terrorists that would infiltrate some of the immigrants to the West... I think the aim of Trump is to prevent those people from coming," adding that it was "not against the Syrian people".[217] This reaction was in contrast to other leaders of countries affected by the Executive Order who condemned it.[218]
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North Korea is alleged to have aided Syria in developing and enhancing a ballistic missiles programme.[219][220] They also reportedly helped Syria develop a suspected nuclear reactor in the Deir ez-Zor Governorate. U.S. officials claimed the reactor was probably "not intended for peaceful purposes", but American senior intelligence officials doubted it was meant for the production of nuclear weapons.[221] The supposed nuclear reactor was destroyed by the Israeli Air Force in 2007 during Operation Orchard.[222] Following the airstrike, Syria wrote a letter to Secretary-General of the United Nations Ban Ki-moon calling the incursion a "breach of airspace of the Syrian Arab Republic" and "not the first time Israel has violated" Syrian airspace.[223]
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While hosting an 8 March 2015 delegation from North Korea led by North Korean Vice Minister of Foreign Affairs Sin Hong Chol, Assad stated that Syria and North Korea were being "targeted" because they are "among those few countries which enjoy real independence".[224]
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According to Syrian opposition sources, North Korea has sent army units to fight on behalf of Assad in the Syrian Civil War.[225]
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In 2018, the United Nations exposed North Korea for their facilitation of Syria's development of chemical weapons. According to a report by U.N. investigators, North Korea provided the Syrian government with acid-resistant tiles, valves, and thermometers. Additionally, DPRK missile technicians had been seen inside various Syrian chemical weapons facilities. This series of about 40 unreported shipments between North Korea and Syria, on which were the chemical weapons materials as well as prohibited ballistic missile parts, is said to have occurred throughout 2012–2017.
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In 2001, Assad condemned the September 11 attacks.[226] In 2003, Assad said in an interview with a Kuwaiti newspaper that he doubted the organization of al-Qaeda even existed. He was quoted as saying, "Is there really an entity called al-Qaeda? Was it in Afghanistan? Does it exist now?" He remarked about Osama bin Laden, commenting: "[he] cannot talk on the phone or use the Internet, but he can direct communications to the four corners of the world? This is illogical."[227]
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Assad's relationship with al-Qaeda and the Islamic State of Iraq and the Levant has been subject to much attention. In 2014, journalist and terrorism expert Peter R. Neumann maintained, citing Syrian records captured by the U.S. military in the Iraqi border town of Sinjar and leaked State Department cables, that "in the years that preceded the uprising, Assad and his intelligence services took the view that jihad could be nurtured and manipulated to serve the Syrian government's aims".[228] Other leaked cables contained remarks by US general David Petraeus which stated that "Bashar al-Asad was well aware that his brother-in-law 'Asif Shawqat, Director of Syrian Military Intelligence, had detailed knowledge of the activities of AQI facilitator Abu Ghadiya, who was using Syrian territory to bring foreign fighters and suicide bombers into Iraq", with later cables adding that Petraeus thought that "in time, these fighters will turn on their Syrian hosts and begin conducting attacks against Bashar al-Assad's regime itself".[229]
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During the Iraq War, the Assad government was accused of training jihadis and facilitating their passage into Iraq, with these infiltration routes remaining active until the Syrian Civil War; US General Jack Keane has stated that "Al Qaeda fighters who are back in Syria, I am confident, they are relying on much they learned in moving through Syria into Iraq for more than five years when they were waging war against the U.S. and Iraq Security Assistance Force".[230] Iraqi president Nouri al-Maliki threatened Assad with an international tribunal over the matter, and ultimately lead to the 2008 Abu Kamal raid, and United States airstrikes within Syria during the Iraq War.[231]
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During the Syrian Civil War, multiple opposition and anti-Assad parties in the conflict accused Assad of collusion with ISIS; several sources have claimed that ISIS prisoners were strategically released from Syrian prisons at the beginning of the Syrian Civil War in 2011.[232] It has also been reported that the Syrian government has bought oil directly from ISIL.[233] A businessman operating in both government and ISIL-controlled territory has claimed that "out of necessity" the Assad government has "had dealings with ISIS."[234] At its height, ISIS was making $40 million a month from the sale of oil, with spreadsheets and accounts kept by oil boss Abu Sayyaf suggesting the majority of the oil was sold to the Syrian government.[235][233] In 2014, U.S. Secretary of State John Kerry claimed that the Assad government has tactically avoided ISIS forces in order to weaken "moderate opposition" such as the Free Syrian Army,[236] as well as "purposely ceding some territory to them [ISIS] in order to make them more of a problem so he can make the argument that he is somehow the protector against them".[237] A Jane's Defence Weekly database analysis claimed that only a small percentage of the Syrian government's attacks were targeted at ISIS in 2014.[238] The Syrian National Coalition has stated that the Assad government has operatives inside ISIS,[239] as has the leadership of Ahrar al-Sham.[240] ISIS members captured by the FSA have claimed that they were directed to commit attacks by Assad regime operatives.[241] Aymenn Jawad Al-Tamimi disputed such assertions in February 2014, arguing that "ISIS has a record of fighting the regime on multiple fronts", many rebel factions have engaged in oil sales to the Syrian regime because it is "now largely dependent on Iraqi oil imports via Lebanese and Egyptian third-party intermediaries", and while "the regime is focusing its airstrikes [on areas] where it has some real expectations of advancing" claims that it "has not hit ISIS strongholds" are "untrue". He concluded: "Attempting to prove an ISIS-regime conspiracy without any conclusive evidence is unhelpful, because it draws attention away from the real reasons why ISIS grew and gained such prominence: namely, rebel groups tolerated ISIS."[242] Similarly, Max Abrams and John Glaser stated in the Los Angeles Times in December 2017 that "The evidence of Assad sponsoring Islamic State ... was about as strong as for Saddam Hussein sponsoring Al Qaeda."[243]
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In October 2014, U.S. Vice President Joe Biden stated that Turkey, Saudi Arabia and the United Arab Emirates had "poured hundreds of millions of dollars and tens of thousands of tons of weapons into anyone who would fight against Al-Assad, except that the people who were being supplied were al-Nusra, and al Qaeda, and the extremist elements of jihadis coming from other parts of the world."[244]
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Mark Lyall Grant, then Permanent Representative of the United Kingdom to the United Nations, stated at the outset of the American-led intervention in Syria that "ISIS is a monster that the Frankenstein of Assad has largely created".[245] French President François Hollande stated, "Assad cannot be a partner in the fight against terrorism, he is the de facto ally of jihadists".[246] Analyst Noah Bonsey of the International Crisis Group has suggested that ISIS are politically expedient for Assad, as "the threat of ISIS provides a way out [for Assad] because the regime believes that over time the U.S. and other countries backing the opposition will eventually conclude that the regime is a necessary partner on the ground in confronting this jihadi threat", while Robin Wright of the Middle East Program at the Woodrow Wilson International Center for Scholars has stated "the outside world's decision to focus on ISIS has ironically lessened the pressure on Assad."[247] In May 2015, Mario Abou Zeid of the Carnegie Middle East Center claimed that the recent Hezbollah offensive "has exposed the reality of the Islamic State of Iraq and the Levant (ISIS) in Qalamoun; that it is operated by the Syrian regime's intelligence", after ISIS in the region engaged in probing attacks against FSA units at the outset of the fighting.[248]
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On 1 June 2015, the United States stated that the Assad government was "making air-strikes in support" of an ISIS advance on Syrian opposition positions north of Aleppo.[249] Referring to the same ISIS offensive, the president of the Syrian National Coalition (SNC) Khaled Koja accused Assad of acting "as an air force for ISIS",[250] with the Defence Minister of the SNC Salim Idris claiming that approximately 180 Assad-linked officers were serving in ISIS and coordinating the group's attacks with the Syrian Arab Army.[251] Christopher Kozak of the Institute for the Study of War claims that "Assad sees the defeat of ISIS in the long term and prioritizes in the more short-and medium-term, trying to cripple the more mainline Syrian opposition [...] ISIS is a threat that lots of people can rally around and even if the regime trades … territory that was in rebel hands over to ISIS control, that weakens the opposition, which has more legitimacy [than ISIS]".[252]
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In 2015, the al-Nusra Front, al-Qaeda's Syrian affiliate,[253] issued a bounty worth millions of dollars for the killing of Assad.[254] The head of the al-Nusra Front, Abu Mohammad al-Julani, said he would pay "three million euros ($3.4 million) for anyone who can kill Bashar al-Assad and end his story".[255] In 2015, Assad's main regional opponents, Qatar, Saudi Arabia and Turkey, were openly backing the Army of Conquest, an umbrella rebel group that reportedly included the al-Qaeda linked al-Nusra Front and another Salafi coalition known as Ahrar al-Sham.[256][257][258] In the course of the conflict, ISIS has repeatedly massacred pro-government Alawite civilians and executed captured Syrian Alawite soldiers,[259][260] with most Alawites supporting Bashar al-Assad, himself an Alawite. ISIS, al-Nusra Front and affiliated jihadist groups reportedly took the lead in an offensive on Alawite villages in Latakia Governorate of Syria in August 2013.[259][261]
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During the interview with Jeremy Bowen in February 2015, Assad noted that the sources of the extreme ideology of Islamic State (ISIS) and other al-Qaeda affiliate groups are the Wahabbism that has been supported by kingdom of Saudi Arabia.[262]
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Assad condemned the November 2015 Paris attacks, but added that France's support for Syrian rebel groups had contributed to the spread of terrorism, and rejected sharing intelligence on terrorist threats with French authorities unless France altered its foreign policy on Syria.[263][264]
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During the Civil War, the Druze in Syria have primarily sought to remain neutral, "seeking to stay out of the conflict", while according to others over half support the Assad government despite its relative weakness in Druze areas.[265] The "Sheikhs of Dignity" movement, which had sought to remain neutral and to defend Druze areas,[266] blamed the government after its leader Sheikh Wahid al-Balous was assassinated and led to large scale protests which left six government security personnel dead.[267]
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It has been reported at various stages of the Syrian Civil War that other religious minorities such as the Alawites and Christians in Syria favour the Assad government because of its secularism,[268][269] however opposition exists among Assyrian Christians who have claimed that the Assad government seeks to use them as "puppets" and deny their distinct ethnicity, which is non-Arab.[270] Syria's Alawite community is considered in the foreign media to be Bashar al-Assad's core support base and is said to dominate the government's security apparatus,[271][272] yet in April 2016, BBC News reported that Alawite leaders released a document seeking to distance themselves from Assad.[273]
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In 2014, the Christian Syriac Military Council, the largest Christian organization in Syria, allied with the Free Syrian Army opposed to Assad,[274] joining other Syrian Christian militias such as the Sutoro who had joined the Syrian opposition against the Assad government.[275]
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In June 2014, Assad won a disputed presidential election held in government-controlled areas (and ignored in opposition-held areas[276] and Kurdish areas governed by the Democratic Union Party[277]) with 88.7% of the vote. Turnout was estimated to be 73.42% of eligible voters, including those in rebel-controlled areas.[278] Individuals interviewed in a "Sunni-dominated, middle-class neighborhood of central Damascus" said there was significant support for Assad among the Sunnis in Syria.[279] Attempts to hold an election under the circumstances of an ongoing civil war were criticised by UN Secretary-General Ban Ki-moon.[280]
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Assad's support from the right-wing has mostly been from the far-right, both before and during the Syrian Civil War. David Duke hosted a televised speech on Syrian national television in 2005.[281] Georgy Shchokin was invited to Syria in 2006 by the Syrian foreign minister and awarded a medal by the Ba'ath party, while Shchokin's institution the Interregional Academy of Personnel Management awarded Assad an honorary doctorate.[282] In 2014, the Simon Wiesenthal Center claimed that Bashar al-Assad had sheltered Alois Brunner in Syria, and alleged that Brunner advised the Assad government on purging Syria's Jewish community.[283][284]
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The National Front in France has been a prominent supporter of Assad since the outbreak of the Syrian Civil War,[285] as has the former leader of the Third Way.[281] In Italy, the parties New Front and CasaPound have both been supportive of Assad, with the New Front putting up pro-Assad posters and the party's leader praising Assad's commitment to the ideology of Arab nationalism in 2013,[286] while CasaPound has also issued statements of support for Assad.[287] Syrian Social Nationalist Party representative Ouday Ramadan has worked in Italy to organize support movements for Assad.[288] Other political parties expressing support for Assad include the National Democratic Party of Germany,[289] the National Revival of Poland,[281] the Freedom Party of Austria,[290] the Bulgarian Ataka party,[291] the Hungarian Jobbik party,[292] the Serbian Radical Party,[293] the Portuguese National Renovator Party,[294] as well as the Spanish Falange Española de las JONS[295] and Authentic Falange parties.[296] The Greek neo-Nazi political party Golden Dawn has spoken out in favour of Assad,[297] and the Strasserist group Black Lily has claimed to have sent mercenaries to Syria to fight alongside the Syrian army.[298]
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Nick Griffin, the former leader of the British National Party, was chosen by the Assad government to represent the UK as an ambassador and at government-held conferences; Griffin has been an official guest of the Syrian government three times since the beginning of the Civil War.[299] The European Solidarity Front for Syria, representing several far-right political groups from across Europe, has had their delegations received by the Syrian national parliament, with one delegation being met by Syrian Head of Parliament Mohammad Jihad al-Laham, Prime Minister Wael Nader al-Halqi and Deputy Foreign Minister Faisal Mekdad.[288] In March 2015, Assad met with Filip Dewinter of the Belgian party Vlaams Belang.[300] In 2016, Assad met with a French delegation,[301] which included former leader of the youth movement of the National Front Julien Rochedy [fr].[302]
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Left-wing support for Assad has been split since the start of the Syrian Civil War;[303] the Assad government has been accused of cynically manipulating sectarian identity and anti-imperialism to continue its worst activities.[304] During a visit to the University of Damascus in November 2005, British politician George Galloway said of Assad, and of the country he leads: "For me he is the last Arab ruler, and Syria is the last Arab country. It is the fortress of the remaining dignity of the Arabs,"[305] and a "breath of fresh air".[306]
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Hadash has expressed support for the Government of Bashar al-Assad.[307] Chairman of the Workers' Party of Korea and Supreme Leader of North Korea Kim Jong-un has expressed support for Assad in face of a growing civil war.[308] The leader of the United Socialist Party of Venezuela and President of Venezuela Nicolás Maduro reiterated his full support for the Syrian people in their struggle for peace and reaffirms its strong condemnation of "the destabilizing actions that are still in Syria, with encouragement from members of NATO".[309] The leader of the National Liberation Front and President of Algeria, Abdelaziz Bouteflika, has sent a cable of congratulations to Assad, on the occasion of winning his presidential elections.[310] The leader of Guyana's People's Progressive Party and President of Guyana, Donald Ramotar, said that Assad's win in the presidential election is a great victory for Syria.[311] The leader of the African National Congress and President of South Africa, Jacob Zuma, congratulated Assad on winning the presidential elections.[312] The leader of the Sandinista National Liberation Front and President of Nicaragua, Daniel Ortega, has said that Assad's victory (in the presidential elections) is an important step to "attain peace in Syria and a clear cut evidence that the Syrian people trust their president as a national leader and support his policies which aim at maintaining Syria's sovereignty and unity".[313] The Popular Front for the Liberation of Palestine supports the Assad government.[314][315] The leader of Fatah and President of the State of Palestine, Mahmoud Abbas, has said that electing President Assad means "preserving Syria's unity and sovereignty and that it will help end the crisis and confront terrorism, wishing prosperity and safety to Syria".[316][317][318]
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President of Belarus Alexander Lukashenko has expressed confidence that Syria will eliminate the current crisis and continue under the leadership of President al-Assad "the fight against terrorism and foreign interference in its internal affairs".[319]
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In order to promote their image and media-portrayal overseas, Bashar al-Assad and his wife Asma al-Assad hired United States- and United Kingdom-based PR firms and consultants.[320] In particular, these secured photoshoots for Asma al-Assad with fashion and celebrity magazines, including Vogue's March 2011 "A Rose in the Desert".[321][322] These firms included Bell Pottinger and Brown Lloyd James, with the latter being paid $5,000 a month for their services.[320][323]
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At the outset of the Syrian Civil War, Syrian government networks were hacked by the group Anonymous, revealing that an ex-Al Jazeera journalist had been hired to advise Assad on how to manipulate the public opinion of the United States. Among the advice was the suggestion to compare the popular uprising against the regime to the Occupy Wall Street protests.[324] In a separate e-mail leak several months later by the Supreme Council of the Syrian Revolution, which were published by The Guardian, it was revealed that Assad's consultants had coordinated with an Iranian government media advisor.[325] In March 2015, an expanded version of the aforementioned leaks was handed to the Lebanese NOW News website and published the following month.[326]
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After the Syrian Civil War began, the Assads started a social media campaign which included building a presence on Facebook, YouTube, and most notably Instagram.[323] A Twitter account for Assad was reportedly activated, however it remained unverified.[327] This resulted in much criticism, and was described by The Atlantic Wire as "a propaganda campaign that ultimately has made the [Assad] family look worse".[328] The Assad government has also allegedly arrested activists for creating Facebook groups that the government disapproved of,[103] and has appealed directly to Twitter to remove accounts it disliked.[329] The social media campaign, as well as the previously leaked e-mails, led to comparisons with Hannah Arendt's A Report on the Banality of Evil by The Guardian, The New York Times and the Financial Times.[330][331][332]
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In October 2014, 27,000 photographs depicting torture committed by the Assad government were put on display at the United States Holocaust Memorial Museum.[333][334] Lawyers were hired to write a report on the images by the British law firm Carter-Ruck, which in turn was funded by the Government of Qatar.[335]
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In November 2014, the Quilliam Foundation reported that a propaganda campaign, which they claimed had the "full backing of Assad", spread false reports about the deaths of Western-born jihadists in order to deflect attention from the government's alleged war crimes. Using a picture of a Chechen fighter from the Second Chechen War, pro-Assad media reports disseminated to Western media outlets, leading them to publish a false story regarding the death of a non-existent British jihadist.[336]
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In 2015, Russia intervened in the Syrian Civil War in support of Assad, and on 21 October 2015, Assad flew to Moscow and met with Russian president Vladimir Putin, who said regarding the civil war: "this decision can be made only by the Syrian people. Syria is a friendly country. And we are ready to support it not only militarily but politically as well."[337]
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Assad speaks fluent English and basic conversational French, having studied at the Franco-Arab al-Hurriyah school in Damascus.[338]
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In December 2000, Assad married Asma al-Assad (née Akhras), a British citizen of Syrian origin from Acton, London.[339][340] In 2001, Asma gave birth to their first child, a son named Hafez after the child's grandfather Hafez al-Assad. Their daughter Zein was born in 2003, followed by their second son Karim in 2004.[40]
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Assad's sister, Bushra al-Assad, and mother, Anisa Makhlouf, left Syria in 2012 and 2013, respectively, to live in the United Arab Emirates.[40] Makhlouf died in Damascus in 2016.[341]
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Revoked and returned distinctions are marked with red.
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Bibliography
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Reports
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Richard I (8 September 1157 – 6 April 1199) was King of England from 1189 until his death. He also ruled as Duke of Normandy, Aquitaine and Gascony, Lord of Cyprus, Count of Poitiers, Anjou, Maine, and Nantes, and was overlord of Brittany at various times during the same period. He was the third of five sons of King Henry II of England and Duchess Eleanor of Aquitaine and seemed unlikely to become king, but all of his brothers except the youngest, John, predeceased their father. Richard is known as Richard Cœur de Lion (Norman French: Le quor de lion) or Richard the Lionheart because of his reputation as a great military leader and warrior.[1] The troubador Bertran de Born also called him Richard Oc-e-Non (Occitan for Yes and No), possibly from a reputation for terseness.[2]
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By the age of 16, Richard had taken command of his own army, putting down rebellions in Poitou against his father.[1] Richard was an important Christian commander during the Third Crusade, leading the campaign after the departure of Philip II of France and achieving considerable victories against his Muslim counterpart, Saladin, although he failed to retake Jerusalem.[3]
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Richard probably spoke both French and Occitan.[4] He was born in England, where he spent his childhood; before becoming king, however, he lived most of his adult life in the Duchy of Aquitaine, in the southwest of France. Following his accession, he spent very little time, perhaps as little as six months, in England. Most of his life as king was spent on Crusade, in captivity, or actively defending his lands in France. Rather than regarding his kingdom as a responsibility requiring his presence as ruler, he has been perceived as preferring to use it merely as a source of revenue to support his armies.[5] Nevertheless, he was seen as a pious hero by his subjects.[6] He remains one of the few kings of England remembered more commonly by his epithet than his regnal number, and is an enduring iconic figure both in England and in France.[7]
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Richard was born on 8 September 1157,[8] probably at Beaumont Palace,[9] in Oxford, England, son of King Henry II of England and Duchess Eleanor of Aquitaine. He was a younger brother of Henry the Young King and Matilda, Duchess of Saxony.[10] As a younger son of King Henry II, he was not expected to ascend to the throne.[11] He was also an elder brother of Geoffrey II, Duke of Brittany; Queen Eleanor of Castile; Queen Joan of Sicily; and Count John of Mortain, who succeeded him as king. Richard was the younger maternal half-brother of Marie of France, Countess of Champagne, and Alix, Countess of Blois.[10] Henry II and Eleanor's eldest son William IX, Count of Poitiers, died before Richard's birth.[10] Richard is often depicted as having been the favourite son of his mother.[12] His father was Angevin-Norman and great-grandson of William the Conqueror. Contemporary historian Ralph de Diceto traced his family's lineage through Matilda of Scotland to the Anglo-Saxon kings of England and Alfred the Great, and from there legend linked them to Noah and Woden. According to Angevin family tradition, there was even 'infernal blood' in their ancestry, with a claimed descent from the fairy, or female demon, Melusine.[9][13]
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While his father visited his lands from Scotland to France, Richard probably spent his childhood in England. His first recorded visit to the European continent was in May 1165, when his mother took him to Normandy.[14] His wet nurse was Hodierna of St Albans, whom he gave a generous pension after he became king.[15] Little is known about Richard's education.[16] Although he was born in Oxford and brought up in England up to his eighth year, it is not known to what extent he used or understood English; he was an educated man who composed poetry and wrote in Limousin (lenga d'òc) and also in French.[17] During his captivity, English prejudice against foreigners was used in a calculated way by his brother John to help destroy the authority of Richard's chancellor, William Longchamp, who was a Norman. One of the specific charges laid against Longchamp, by John's supporter Hugh Nonant, was that he could not speak English. This indicates that by the late 12th century a knowledge of English was expected of those in positions of authority in England.[18][19]
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Richard was said to be very attractive; his hair was between red and blond, and he was light-eyed with a pale complexion. According to Clifford Brewer, he was 6 feet 5 inches (1.96 m),[20] though that is unverifiable since his remains have been lost since at least the French Revolution. John, his youngest brother, was known to be 5 feet 5 inches (1.65 m). The Itinerarium peregrinorum et gesta regis Ricardi, a Latin prose narrative of the Third Crusade, states that: "He was tall, of elegant build; the colour of his hair was between red and gold; his limbs were supple and straight. He had long arms suited to wielding a sword. His long legs matched the rest of his body".[21]
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From an early age, Richard showed significant political and military ability, becoming noted for his chivalry and courage as he fought to control the rebellious nobles of his own territory.
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Marriage alliances were common among medieval royalty: they led to political alliances and peace treaties and allowed families to stake claims of succession on each other's lands. In March 1159 it was arranged that Richard would marry one of the daughters of Ramon Berenguer IV, Count of Barcelona; however, these arrangements failed, and the marriage never took place. Henry the Young King was married to Margaret, daughter of Louis VII of France, on 2 November 1160.[22] Despite this alliance between the Plantagenets and the Capetians, the dynasty on the French throne, the two houses were sometimes in conflict. In 1168, the intercession of Pope Alexander III was necessary to secure a truce between them. Henry II had conquered Brittany and taken control of Gisors and the Vexin, which had been part of Margaret's dowry.[23]
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Early in the 1160s there had been suggestions Richard should marry Alys, Countess of the Vexin, fourth daughter of Louis VII; because of the rivalry between the kings of England and France, Louis obstructed the marriage. A peace treaty was secured in January 1169 and Richard's betrothal to Alys was confirmed.[24] Henry II planned to divide his and Eleanor's territories among their three eldest surviving sons: Henry would become King of England and have control of Anjou, Maine, and Normandy; Richard would inherit Aquitaine and Poitiers from his mother; and Geoffrey would become Duke of Brittany through marriage with Constance, heir presumptive of Conan IV. At the ceremony where Richard's betrothal was confirmed, he paid homage to the King of France for Aquitaine, thus securing ties of vassalage between the two.[25]
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After Henry II fell seriously ill in 1170, he enacted his plan to divide his kingdom, although he would retain overall authority over his sons and their territories. Young Henry was crowned as heir apparent in June 1170, and in 1171 Richard left for Aquitaine with his mother, and Henry II gave him the duchy of Aquitaine at the request of Eleanor.[26] Richard and his mother embarked on a tour of Aquitaine in 1171 in an attempt to pacify the locals.[27] Together they laid the foundation stone of St Augustine's Monastery in Limoges. In June 1172, at age 12, Richard was formally recognised as the duke of Aquitaine and count of Poitou when he was granted the lance and banner emblems of his office; the ceremony took place in Poitiers and was repeated in Limoges, where he wore the ring of St Valerie, who was the personification of Aquitaine.[28][29]
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According to Ralph of Coggeshall, Henry the Young King instigated rebellion against Henry II; he wanted to reign independently over at least part of the territory his father had promised him, and to break away from his dependence on Henry II, who controlled the purse strings.[30] There were rumors that Eleanor might have encouraged her sons to revolt against their father.[31]
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Henry the Young King abandoned his father and left for the French court, seeking the protection of Louis VII; his younger brothers, Richard and Geoffrey, soon followed him, while the five-year-old John remained in England. Louis gave his support to the three brothers and even knighted Richard, tying them together through vassalage.[32]
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Jordan Fantosme, a contemporary poet, described the rebellion as a "war without love".[33]
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The brothers made an oath at the French court that they would not make terms with Henry II without the consent of Louis VII and the French barons.[35] With the support of Louis, Henry the Young King attracted many barons to his cause through promises of land and money; one such baron was Philip I, Count of Flanders, who was promised £1,000 and several castles. The brothers also had supporters ready to rise up in England. Robert de Beaumont, 3rd Earl of Leicester, joined forces with Hugh Bigod, 1st Earl of Norfolk, Hugh de Kevelioc, 5th Earl of Chester, and William I of Scotland for a rebellion in Suffolk. The alliance with Louis was initially successful, and by July 1173 the rebels were besieging Aumale, Neuf-Marché, and Verneuil, and Hugh de Kevelioc had captured Dol in Brittany.[36] Richard went to Poitou and raised the barons who were loyal to himself and his mother in rebellion against his father. Eleanor was captured, so Richard was left to lead his campaign against Henry II's supporters in Aquitaine on his own. He marched to take La Rochelle but was rejected by the inhabitants; he withdrew to the city of Saintes, which he established as a base of operations.[37][38]
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In the meantime, Henry II had raised a very expensive army of more than 20,000 mercenaries with which to face the rebellion.[36] He marched on Verneuil, and Louis retreated from his forces. The army proceeded to recapture Dol and subdued Brittany. At this point Henry II made an offer of peace to his sons; on the advice of Louis the offer was refused.[39] Henry II's forces took Saintes by surprise and captured much of its garrison, although Richard was able to escape with a small group of soldiers. He took refuge in Château de Taillebourg for the rest of the war.[37] Henry the Young King and the Count of Flanders planned to land in England to assist the rebellion led by the Earl of Leicester. Anticipating this, Henry II returned to England with 500 soldiers and his prisoners (including Eleanor and his sons' wives and fiancées),[40] but on his arrival found out that the rebellion had already collapsed. William I of Scotland and Hugh Bigod were captured on 13 and 25 July respectively. Henry II returned to France and raised the siege of Rouen, where Louis VII had been joined by Henry the Young King after abandoning his plan to invade England. Louis was defeated and a peace treaty was signed in September 1174,[39] the Treaty of Montlouis.[41]
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When Henry II and Louis VII made a truce on 8 September 1174, its terms specifically excluded Richard.[40][42] Abandoned by Louis and wary of facing his father's army in battle, Richard went to Henry II's court at Poitiers on 23 September and begged for forgiveness, weeping and falling at the feet of Henry, who gave Richard the kiss of peace.[40][42] Several days later, Richard's brothers joined him in seeking reconciliation with their father.[40] The terms the three brothers accepted were less generous than those they had been offered earlier in the conflict (when Richard was offered four castles in Aquitaine and half of the income from the duchy):[35] Richard was given control of two castles in Poitou and half the income of Aquitaine; Henry the Young King was given two castles in Normandy; and Geoffrey was permitted half of Brittany. Eleanor remained Henry II's prisoner until his death, partly as insurance for Richard's good behaviour.[43]
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After the conclusion of the war, the process of pacifying the provinces that had rebelled against Henry II began. The King travelled to Anjou for this purpose, and Geoffrey dealt with Brittany. In January 1175 Richard was dispatched to Aquitaine to punish the barons who had fought for him. The historian John Gillingham notes that the chronicle of Roger of Howden is the main source for Richard's activities in this period.[44] According to the chronicle, most of the castles belonging to rebels were to be returned to the state they were in 15 days before the outbreak of war, while others were to be razed.[44] Given that by this time it was common for castles to be built in stone, and that many barons had expanded or refortified their castles, this was not an easy task.[45] Roger of Howden records the two-month siege of Castillon-sur-Agen; while the castle was "notoriously strong", Richard's siege engines battered the defenders into submission.[46] On this campaign, Richard acquired the name "the Lion" or "the Lionheart" due to his noble, brave and fierce leadership.[47][45]He is referred to as "this our lion" (hic leo noster) as early as 1187 in the Topographia Hibernica of Giraldus Cambrensis,[48] while the byname "lionheart" (le quor de lion) is first recorded in Ambroise's L'Estoire de la Guerre Sainte in the context of the Accon campaign of 1191.[49]
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Henry seemed unwilling to entrust any of his sons with resources that could be used against him. It was suspected that Henry had appropriated Alys, Richard's betrothed, the daughter of Louis VII of France by his second wife, as his mistress. This made a marriage between Richard and Alys technically impossible in the eyes of the Church, but Henry prevaricated: he regarded Alys's dowry, Vexin in the Île-de-France, as valuable. Richard was discouraged from renouncing Alys because she was the sister of King Philip II of France, a close ally.[50][51][52]
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After his failure to overthrow his father, Richard concentrated on putting down internal revolts by the nobles of Aquitaine, especially in the territory of Gascony. The increasing cruelty of his rule led to a major revolt there in 1179. Hoping to dethrone Richard, the rebels sought the help of his brothers Henry and Geoffrey. The turning point came in the Charente Valley in the spring of 1179. The well-defended fortress of Taillebourg seemed impregnable. The castle was surrounded by a cliff on three sides and a town on the fourth side with a three-layer wall. Richard first destroyed and looted the farms and lands surrounding the fortress, leaving its defenders no reinforcements or lines of retreat. The garrison sallied out of the castle and attacked Richard; he was able to subdue the army and then followed the defenders inside the open gates, where he easily took over the castle in two days. Richard the Lionheart's victory at Taillebourg deterred many barons from thinking of rebelling and forced them to declare their loyalty to him. It also won Richard a reputation as a skilled military commander.[citation needed]
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In 1181–1182 Richard faced a revolt over the succession to the county of Angoulême. His opponents turned to Philip II of France for support, and the fighting spread through the Limousin and Périgord. The excessive cruelty of Richard's punitive campaigns aroused even more hostility.[53] However, with support from his father and from the Young King, Richard the Lionheart eventually succeeded in bringing the Viscount Aimar V of Limoges and Count Elie of Périgord to terms.[citation needed]
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After Richard had subdued his rebellious barons he again challenged his father. From 1180 to 1183 the tension between Henry and Richard grew, as King Henry commanded Richard to pay homage to Henry the Young King, but Richard refused. Finally, in 1183 Henry the Young King and Geoffrey, Duke of Brittany, invaded Aquitaine in an attempt to subdue Richard. Richard's barons joined in the fray and turned against their duke. However, Richard and his army succeeded in holding back the invading armies, and they executed any prisoners. The conflict paused briefly in June 1183 when the Young King died. With the death of Henry the Young King, Richard became the eldest surviving son and therefore heir to the English crown. King Henry demanded that Richard give up Aquitaine (which he planned to give to his youngest son John as his inheritance). Richard refused, and conflict continued between them. Henry II soon gave John permission to invade Aquitaine.[citation needed]
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To strengthen his position, in 1187, Richard allied himself with 22-year-old Philip II, the son of Eleanor's ex-husband Louis VII by Adela of Champagne. Roger of Howden wrote:
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The King of England was struck with great astonishment, and wondered what [this alliance] could mean, and, taking precautions for the future, frequently sent messengers into France for the purpose of recalling his son Richard; who, pretending that he was peaceably inclined and ready to come to his father, made his way to Chinon, and, in spite of the person who had the custody thereof, carried off the greater part of his father's treasures, and fortified his castles in Poitou with the same, refusing to go to his father.[54]
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Overall, Howden is chiefly concerned with the politics of the relationship between Richard and King Philip. Gillingham has addressed theories suggesting that this political relationship was also sexually intimate, which he posits probably stemmed from an official record announcing that, as a symbol of unity between the two countries, the kings of England and France had slept overnight in the same bed. Gillingham has characterized this as "an accepted political act, nothing sexual about it;... a bit like a modern-day photo opportunity".[55]
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In exchange for Philip's help against his father, Richard promised to concede to him his rights to both Normandy and Anjou. Richard paid homage to Philip in November 1187. With news arriving of the Battle of Hattin, he took the cross at Tours in the company of other French nobles.[citation needed]
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In 1188 Henry II planned to concede Aquitaine to his youngest son John. But Richard objected. He felt that Aquitaine was his and that John was unfit to take over the land once belonging to his mother. This refusal is what finally made Henry II bring Queen Eleanor out of prison. He sent her to Aquitaine and demanded that Richard give up his lands to his mother, who would once again rule over those lands.[56]
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The following year, Richard attempted to take the throne of England for himself by joining Philip's expedition against his father. On 4 July 1189, the forces of Richard and Philip defeated Henry's army at Ballans. Henry, with John's consent, agreed to name Richard his heir apparent. Two days later Henry II died in Chinon, and Richard the Lionheart succeeded him as King of England, Duke of Normandy, and Count of Anjou. Roger of Howden claimed that Henry's corpse bled from the nose in Richard's presence, which was assumed to be a sign that Richard had caused his death.[citation needed]
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Richard I was officially invested as Duke of Normandy on 20 July 1189 and crowned king in Westminster Abbey on 3 September 1189.[57] Tradition barred all Jews and women from the investiture, but some Jewish leaders arrived to present gifts for the new king.[58] According to Ralph of Diceto, Richard's courtiers stripped and flogged the Jews, then flung them out of court.[59]
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When a rumour spread that Richard had ordered all Jews to be killed, the people of London attacked the Jewish population.[59] Many Jewish homes were destroyed by arsonists, and several Jews were forcibly converted.[59] Some sought sanctuary in the Tower of London, and others managed to escape. Among those killed was Jacob of Orléans, a respected Jewish scholar.[60] Roger of Howden, in his Gesta Regis Ricardi, claimed that the jealous and bigoted citizens started the rioting, and that Richard punished the perpetrators, allowing a forcibly converted Jew to return to his native religion. Baldwin of Forde, Archbishop of Canterbury, reacted by remarking, "If the King is not God's man, he had better be the devil's".[61]
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Offended that he was not being obeyed and realising that the assaults could destabilise his realm on the eve of his departure on crusade, Richard ordered the execution of those responsible for the most egregious murders and persecutions, including rioters who had accidentally burned down Christian homes.[62] He distributed a royal writ demanding that the Jews be left alone. The edict was only loosely enforced, however, and the following March further violence occurred, including a massacre at York.[63]
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Richard had already taken the cross as Count of Poitou in 1187. His father and Philip II had done so at Gisors on 21 January 1188 after receiving news of the fall of Jerusalem to Saladin. After Richard became king, he and Philip agreed to go on the Third Crusade, since each feared that during his absence the other might usurp his territories.[64]
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Richard swore an oath to renounce his past wickedness in order to show himself worthy to take the cross. He started to raise and equip a new crusader army. He spent most of his father's treasury (filled with money raised by the Saladin tithe), raised taxes, and even agreed to free King William I of Scotland from his oath of subservience to Richard in exchange for 10,000 marks (£6,500). To raise still more revenue he sold the right to hold official positions, lands, and other privileges to those interested in them.[65] Those already appointed were forced to pay huge sums to retain their posts. William Longchamp, Bishop of Ely and the King's chancellor, made a show of bidding £3,000 to remain as Chancellor. He was apparently outbid by a certain Reginald the Italian, but that bid was refused.[citation needed]
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Richard made some final arrangements on the continent.[66] He reconfirmed his father's appointment of William Fitz Ralph to the important post of seneschal of Normandy. In Anjou, Stephen of Tours was replaced as seneschal and temporarily imprisoned for fiscal mismanagement. Payn de Rochefort, an Angevin knight, became seneschal of Anjou. In Poitou the ex-provost of Benon, Peter Bertin, was made seneschal, and finally, the household official Helie de La Celle was picked for the seneschalship in Gascony. After repositioning the part of his army he left behind to guard his French possessions, Richard finally set out on the crusade in summer 1190.[66] (His delay was criticised by troubadours] such as Bertran de Born.) He appointed as regents Hugh de Puiset, Bishop of Durham, and William de Mandeville, 3rd Earl of Essex—who soon died and was replaced by William Longchamp.[67] Richard's brother John was not satisfied by this decision and started scheming against William Longchamp. When Richard was raising funds for his crusade, he was said to declare, "I would have sold London if I could find a buyer".[68]
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In September 1190 Richard and Philip arrived in Sicily.[69] After the death of King William II of Sicily in 1189 his cousin Tancred had seized power, although the legal heir was William's aunt Constance, wife of Henry VI, Holy Roman Emperor. Tancred had imprisoned William's widow, Queen Joan, who was Richard's sister and did not give her the money she had inherited in William's will. When Richard arrived he demanded that his sister be released and given her inheritance; she was freed on 28 September, but without the inheritance.[70] The presence of foreign troops also caused unrest: in October, the people of Messina revolted, demanding that the foreigners leave.[71] Richard attacked Messina, capturing it on 4 October 1190.[71] After looting and burning the city Richard established his base there, but this created tension between Richard and Philip Augustus. He remained there until Tancred finally agreed to sign a treaty on 4 March 1191. The treaty was signed by Richard, Philip, and Tancred.[72] Its main terms were:
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The two kings stayed on in Sicily for a while, but this resulted in increasing tensions between them and their men, with Philip Augustus plotting with Tancred against Richard.[73] The two kings finally met to clear the air and reached an agreement, including the end of Richard's betrothal to Philip's sister Alys.[74]
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In April 1191 Richard left Messina for Acre, but a storm dispersed his large fleet.[75] After some searching, it was discovered that the ship carrying his sister Joan and his new fiancée, Berengaria of Navarre, was anchored on the south coast of Cyprus, along with the wrecks of several other vessels, including the treasure ship. Survivors of the wrecks had been taken prisoner by the island's ruler, Isaac Komnenos.[76]
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On 1 May 1191 Richard's fleet arrived in the port of Lemesos on Cyprus.[76] He ordered Isaac to release the prisoners and treasure.[76] Isaac refused, so Richard landed his troops and took Limassol.[77] Various princes of the Holy Land arrived in Limassol at the same time, in particular Guy of Lusignan. All declared their support for Richard provided that he support Guy against his rival, Conrad of Montferrat.[78]
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The local magnates abandoned Isaac, who considered making peace with Richard, joining him on the crusade, and offering his daughter in marriage to the person named by Richard.[79] Isaac changed his mind, however, and tried to escape. Richard's troops, led by Guy de Lusignan, conquered the whole island by 1 June. Isaac surrendered and was confined with silver chains because Richard had promised that he would not place him in irons. Richard named Richard de Camville and Robert of Thornham as governors. He later sold the island to the master of Knights Templar, Robert de Sablé, and it was subsequently acquired, in 1192, by Guy of Lusignan and became a stable feudal kingdom.[80]
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The rapid conquest of the island by Richard was of strategic importance. The island occupies a key strategic position on the maritime lanes to the Holy Land, whose occupation by the Christians could not continue without support from the sea.[80] Cyprus remained a Christian stronghold until the battle of Lepanto (1571).[81] Richard's exploit was well publicised and contributed to his reputation, and he also derived significant financial gains from the conquest of the island.[81] Richard left Cyprus for Acre on 5 June with his allies.[81]
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Before leaving Cyprus on crusade, Richard married Berengaria, the first-born daughter of King Sancho VI of Navarre. Richard first grew close to her at a tournament held in her native Navarre.[82] The wedding was held in Limassol on 12 May 1191 at the Chapel of St George and was attended by Richard's sister Joan, whom he had brought from Sicily. The marriage was celebrated with great pomp and splendour, many feasts and entertainments, and public parades and celebrations followed commemorating the event. When Richard married Berengaria he was still officially betrothed to Alys, and he pushed for the match in order to obtain the Kingdom of Navarre as a fief, as Aquitaine had been for his father. Further, Eleanor championed the match, as Navarre bordered Aquitaine, thereby securing the southern border of her ancestral lands. Richard took his new wife on crusade with him briefly, though they returned separately. Berengaria had almost as much difficulty in making the journey home as her husband did, and she did not see England until after his death. After his release from German captivity, Richard showed some regret for his earlier conduct, but he was not reunited with his wife.[83] The marriage remained childless.[citation needed]
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King Richard landed at Acre on 8 June 1191.[84] He gave his support to his Poitevin vassal Guy of Lusignan, who had brought troops to help him in Cyprus. Guy was the widower of his father's cousin Sibylla of Jerusalem and was trying to retain the kingship of Jerusalem, despite his wife's death during the Siege of Acre the previous year.[85] Guy's claim was challenged by Conrad of Montferrat, second husband of Sibylla's half-sister, Isabella: Conrad, whose defence of Tyre had saved the kingdom in 1187, was supported by Philip of France, son of his first cousin Louis VII of France, and by another cousin, Leopold V, Duke of Austria.[86] Richard also allied with Humphrey IV of Toron, Isabella's first husband, from whom she had been forcibly divorced in 1190. Humphrey was loyal to Guy and spoke Arabic fluently, so Richard used him as a translator and negotiator.[87]
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Richard and his forces aided in the capture of Acre, despite Richard's serious illness. At one point, while sick from scurvy, he is said to have picked off guards on the walls with a crossbow, while being carried on a stretcher. Eventually, Conrad of Montferrat concluded the surrender negotiations with Saladin's forces inside Acre and raised the banners of the kings in the city. Richard quarrelled with Leopold of Austria over the deposition of Isaac Komnenos (related to Leopold's Byzantine mother) and his position within the crusade. Leopold's banner had been raised alongside the English and French standards. This was interpreted as arrogance by both Richard and Philip, as Leopold was a vassal of the Holy Roman Emperor (although he was the highest-ranking surviving leader of the imperial forces). Richard's men tore the flag down and threw it in the moat of Acre.[88] Leopold left the crusade immediately. Philip also left soon afterwards, in poor health and after further disputes with Richard over the status of Cyprus (Philip demanded half the island) and the kingship of Jerusalem.[89] Richard, suddenly, found himself without allies.[citation needed]
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Richard had kept 2,700 Muslim prisoners as hostages against Saladin fulfilling all the terms of the surrender of the lands around Acre.[90] Philip, before leaving, had entrusted his prisoners to Conrad, but Richard forced him to hand them over to him. Richard feared his forces being bottled up in Acre as he believed his campaign could not advance with the prisoners in train. He, therefore, ordered all the prisoners executed. He then moved south, defeating Saladin's forces at the Battle of Arsuf 30 miles (50 km) north of Jaffa on 7 September 1191. Saladin attempted to harass Richard's army into breaking its formation in order to defeat it in detail. Richard maintained his army's defensive formation, however, until the Hospitallers broke ranks to charge the right wing of Saladin's forces. Richard then ordered a general counterattack, which won the battle. Arsuf was an important victory. The Muslim army was not destroyed, despite the considerable casualties it suffered, but it did rout; this was considered shameful by the Muslims and boosted the morale of the Crusaders. In November 1191, following the fall of Jaffa, the Crusader army advanced inland towards Jerusalem. The army then marched to Beit Nuba, only 12 miles from Jerusalem. Muslim morale in Jerusalem was so low that the arrival of the Crusaders would probably have caused the city to fall quickly. However, the weather was appallingly bad, cold with heavy rain and hailstorms; this, combined with the fear that the Crusader army, if it besieged Jerusalem, might be trapped by a relieving force, led to the decision to retreat back to the coast.[91] Richard attempted to negotiate with Saladin, but this was unsuccessful. In the first half of 1192, he and his troops refortified Ascalon.[citation needed]
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An election forced Richard to accept Conrad of Montferrat as King of Jerusalem, and he sold Cyprus to his defeated protégé, Guy. Only days later, on 28 April 1192, Conrad was stabbed to death by Assassins[92] before he could be crowned. Eight days later Richard's own nephew Henry II of Champagne was married to the widowed Isabella, although she was carrying Conrad's child. The murder has never been conclusively solved, and Richard's contemporaries widely suspected his involvement.[93]
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The crusader army made another advance on Jerusalem, and in June 1192 it came within sight of the city before being forced to retreat once again, this time because of dissension amongst its leaders. In particular, Richard and the majority of the army council wanted to force Saladin to relinquish Jerusalem by attacking the basis of his power through an invasion of Egypt. The leader of the French contingent, Hugh III, Duke of Burgundy, however, was adamant that a direct attack on Jerusalem should be made. This split the Crusader army into two factions, and neither was strong enough to achieve its objective. Richard stated that he would accompany any attack on Jerusalem but only as a simple soldier; he refused to lead the army. Without a united command the army had little choice but to retreat back to the coast.[94]
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There commenced a period of minor skirmishes with Saladin's forces, punctuated by another defeat in the field for the Ayyubid army at the Battle of Jaffa. Baha' al-Din, a contemporary Muslim soldier and biographer of Saladin, recorded a tribute to Richard's martial prowess at this battle: "I have been assured ... that on that day the king of England, lance in hand, rode along the whole length of our army from right to left, and not one of our soldiers left the ranks to attack him. The Sultan was wroth thereat and left the battlefield in anger...".[95] Both sides realised that their respective positions were growing untenable. Richard knew that both Philip and his own brother John were starting to plot against him, and the morale of Saladin's army had been badly eroded by repeated defeats. However, Saladin insisted on the razing of Ascalon's fortifications, which Richard's men had rebuilt, and a few other points. Richard made one last attempt to strengthen his bargaining position by attempting to invade Egypt—Saladin's chief supply-base—but failed. In the end, time ran out for Richard. He realised that his return could be postponed no longer since both Philip and John were taking advantage of his absence. He and Saladin finally came to a settlement on 2 September 1192. The terms provided for the destruction of Ascalon's fortifications, allowed Christian pilgrims and merchants access to Jerusalem, and initiated a three-year truce.[96] Richard, being ill with scurvy, left for England on October 9, 1192.[97]
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Bad weather forced Richard's ship to put in at Corfu, in the lands of Byzantine Emperor Isaac II Angelos, who objected to Richard's annexation of Cyprus, formerly Byzantine territory. Disguised as a Knight Templar, Richard sailed from Corfu with four attendants, but his ship was wrecked near Aquileia, forcing Richard and his party into a dangerous land route through central Europe. On his way to the territory of his brother-in-law Henry the Lion, Richard was captured shortly before Christmas 1192 near Vienna by Leopold of Austria, who accused Richard of arranging the murder of his cousin Conrad of Montferrat. Moreover, Richard had personally offended Leopold by casting down his standard from the walls of Acre.[citation needed]
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Leopold kept Richard prisoner at Dürnstein Castle under the care of Leopold's ministerialis Hadmar of Kuenring.[98] His mishap was soon known to England, but the regents were for some weeks uncertain of his whereabouts. While in prison, Richard wrote Ja nus hons pris or Ja nuls om pres ("No man who is imprisoned"), which is addressed to his half-sister Marie. He wrote the song, in French and Occitan versions, to express his feelings of abandonment by his people and his sister. The detention of a crusader was contrary to public law,[99][100] and on these grounds Pope Celestine III excommunicated Duke Leopold.[citation needed]
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On 28 March 1193 Richard was brought to Speyer and handed over to Holy Roman Emperor Henry VI, who imprisoned him in Trifels Castle. Henry VI was aggrieved by the support the Plantagenets had given to the family of Henry the Lion and by Richard's recognition of Tancred in Sicily.[99] Henry VI needed money to raise an army and assert his rights over southern Italy and continued to hold Richard for ransom. In response, Pope Celestine III excommunicated Henry VI, as he had Duke Leopold, for the continued wrongful imprisonment of Richard. Richard famously refused to show deference to the Emperor and declared to him, "I am born of a rank which recognises no superior but God".[101] Despite his complaints, the conditions of his captivity were not severe.[citation needed]
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The Emperor demanded that 150,000 marks (100,000 pounds of silver) be delivered to him before he would release the King, the same amount raised by the Saladin tithe only a few years earlier,[102] and 2–3 times the annual income for the English Crown under Richard. Richard's mother, Eleanor, worked to raise the ransom. Both clergy and laymen were taxed for a quarter of the value of their property, the gold and silver treasures of the churches were confiscated, and money was raised from the scutage and the carucage taxes. At the same time, John, Richard's brother, and King Philip of France offered 80,000 marks for Henry VI to hold Richard prisoner until Michaelmas 1194. Henry turned down the offer. The money to rescue the King was transferred to Germany by the Emperor's ambassadors, but "at the king's peril" (had it been lost along the way, Richard would have been held responsible), and finally, on 4 February 1194 Richard was released. Philip sent a message to John: "Look to yourself; the devil is loose".[103]
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In Richard's absence, his brother John revolted with the aid of Philip; amongst Philip's conquests in the period of Richard's imprisonment was Normandy.[104] Richard forgave John when they met again and named him as his heir in place of their nephew, Arthur. At Winchester, on 11 March 1194, Richard was crowned a second time to nullify the shame of his captivity.[105]
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Richard began his reconquest of Normandy. The fall of the Château de Gisors to the French in 1193 opened a gap in the Norman defences. The search began for a fresh site for a new castle to defend the duchy of Normandy and act as a base from which Richard could launch his campaign to take back the Vexin from French control.[106] A naturally defensible position was identified perched high above the River Seine, an important transport route, in the manor of Andeli. Under the terms of the Treaty of Louviers (December 1195) between Richard and Philip II, neither king was allowed to fortify the site; despite this, Richard intended to build the vast Château Gaillard.[107] Richard tried to obtain the manor through negotiation. Walter de Coutances, Archbishop of Rouen, was reluctant to sell the manor as it was one of the diocese's most profitable, and other lands belonging to the diocese had recently been damaged by war.[107] When Philip besieged Aumale in Normandy, Richard grew tired of waiting and seized the manor,[107][108] although the act was opposed by the Catholic Church.[109] The archbishop issued an interdict against performing church services in the duchy of Normandy; Roger of Howden detailed "unburied bodies of the dead lying in the streets and square of the cities of Normandy". The interdict was still in force when work began on the castle, but Pope Celestine III repealed it in April 1197 after Richard made gifts of land to the archbishop and the diocese of Rouen, including two manors and the prosperous port of Dieppe.[110][111]
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Royal expenditure on castles declined from the levels spent under Henry II, attributed to a concentration of resources on Richard's war with the king of France.[112] However, the work at Château Gaillard was some of the most expensive of its time and cost an estimated £15,000 to £20,000 between 1196 and 1198.[113] This was more than double Richard's spending on castles in England, an estimated £7,000.[114] Unprecedented in its speed of construction, the castle was mostly complete in two years when most construction on such a scale would have taken the best part of a decade.[113] According to William of Newburgh, in May 1198 Richard and the labourers working on the castle were drenched in a "rain of blood". While some of his advisers thought the rain was an evil omen, Richard was undeterred.[115]
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As no master-mason is mentioned in the otherwise detailed records of the castle's construction, military historian Allen Brown has suggested that Richard himself was the overall architect; this is supported by the interest Richard showed in the work through his frequent presence.[116] In his final years, the castle became Richard's favourite residence, and writs and charters were written at Château Gaillard bearing "apud Bellum Castrum de Rupe" (at the Fair Castle of the Rock).[117]
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Château Gaillard was ahead of its time, featuring innovations that would be adopted in castle architecture nearly a century later. Allen Brown described Château Gaillard as "one of the finest castles in Europe",[117] and military historian Sir Charles Oman wrote that it was considered "the masterpiece of its time. The reputation of its builder, Cœur de Lion, as a great military engineer might stand firm on this single structure. He was no mere copyist of the models he had seen in the East, but introduced many original details of his own invention into the stronghold".[118]
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Determined to resist Philip's designs on contested Angevin lands such as the Vexin and Berry, Richard poured all his military expertise and vast resources into the war on the French King. He organised an alliance against Philip, including Baldwin IX of Flanders, Renaud, Count of Boulogne, and his father-in-law King Sancho VI of Navarre, who raided Philip's lands from the south. Most importantly, he managed to secure the Welf inheritance in Saxony for his nephew, Henry the Lion's son, who was elected Otto IV of Germany in 1198.[citation needed]
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Partly as a result of these and other intrigues, Richard won several victories over Philip. At Fréteval in 1194, just after Richard's return to France from captivity and money-raising in England, Philip fled, leaving his entire archive of financial audits and documents to be captured by Richard. At the Battle of Gisors (sometimes called Courcelles) in 1198, Richard took Dieu et mon Droit—"God and my Right"—as his motto (still used by the British monarchy today), echoing his earlier boast to Emperor Henry that his rank acknowledged no superior but God.[citation needed]
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In March 1199, Richard was in Limousin suppressing a revolt by Viscount Aimar V of Limoges. Although it was Lent, he "devastated the Viscount's land with fire and sword".[120] He besieged the puny, virtually unarmed castle of Châlus-Chabrol. Some chroniclers claimed that this was because a local peasant had uncovered a treasure trove of Roman gold.[121]
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On 26 March 1199, Richard was hit in the shoulder by a crossbow, and the wound turned gangrenous.[122] Richard asked to have the crossbowman brought before him; called alternatively Pierre (or Peter) Basile, John Sabroz, Dudo,[123][124] and Bertrand de Gourdon (from the town of Gourdon) by chroniclers, the man turned out (according to some sources, but not all) to be a boy. He said Richard had killed his father and two brothers, and that he had killed Richard in revenge. He expected to be executed, but as a final act of mercy Richard forgave him, saying "Live on, and by my bounty behold the light of day", before he ordered the boy to be freed and sent away with 100 shillings.[125] It is unclear whether the pardon was upheld following his death. Richard then set his affairs in order, bequeathing all his territory to his brother John and his jewels to his nephew Otto.[citation needed]
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Richard died on 6 April 1199 in the arms of his mother, and thus "ended his earthly day."[126] Because of the nature of Richard's death, it was later referred to as "the Lion by the Ant was slain".[127] According to one chronicler, Richard's last act of chivalry proved fruitless when the infamous mercenary captain Mercadier had the boy flayed alive and hanged as soon as Richard died.[128]
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Richard's heart was buried at Rouen in Normandy, his entrails in Châlus (where he died), and the rest of his body at the feet of his father at Fontevraud Abbey in Anjou.[129] In 2012, scientists analysed the remains of Richard's heart and found that it had been embalmed with various substances, including frankincense, a symbolically important substance because it had been present both at the birth and embalming of the Christ.[130]
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Henry Sandford, Bishop of Rochester (1226–1235), announced that he had seen a vision of Richard ascending to Heaven in March 1232 (along with Stephen Langton, the former Archbishop of Canterbury), the King having presumably spent 33 years in purgatory as expiation for his sins.[131]
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Richard produced no legitimate heirs and acknowledged only one illegitimate son, Philip of Cognac. As a result, he was succeeded by his brother John as king.[132] However, his French territories, with the exception of Rouen, initially rejected John as a successor, preferring his nephew Arthur, as how royal inheritance rules applied to the situation at the time of Richard’s death was unclear.[133] The lack of any direct heirs from Richard was the first step in the dissolution of the Angevin Empire.[132]
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Contemporaries considered Richard as both a king and a knight famed for personal martial prowess; this was, apparently, the first such instance of this combination.[134] He was known as a valiant, competent military leader and individual fighter who was courageous and generous. At the same time, he was considered prone to the sins of lust, pride, greed, and above all excessive cruelty. Ralph of Coggeshall, summarising Richard's career, deplores that the King was one of "the immense cohort of sinners".[135] He was criticised by clergy chroniclers for having taxed the clergy both for the Crusade and for his ransom, whereas the church and the clergy were usually exempt from taxes.[136]
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Richard was a patron and a protector of the trouvères and troubadours of his entourage; he was also a poet himself.[137][138] He was interested in writing and music, and two poems are attributed to him. The first one is a sirventes in Old French, Dalfin je us voill desrenier, and the second one is a lament that he wrote during his imprisonment at Dürnstein Castle, Ja nus hons pris, with a version in Old Occitan and a version in Old French.[138][139]
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In the historiography of the second half of the 20th century, much interest was shown in Richard's sexuality, in particular whether there was evidence of homosexuality. The topic had not been raised by Victorian or Edwardian historians, a fact which was itself denounced as a "conspiracy of silence" by John Harvey (1948).[140] The argument primarily drew on accounts of Richard's behaviour, as well as of his confessions and penitences, and of his childless marriage.[141] Richard did have at least one illegitimate child, and there are reports on his sexual relations with local women during his campaigns.[142] Historians remain divided on the question of Richard's sexuality.[143] Harvey argued in favour of his homosexuality[144] but has been disputed by other historians, most notably John Gillingham (1994), who argues that Richard was probably heterosexual.[145] Flori (1999) again argued in favour of Richard's homosexuality, based on Richard's two public confessions and penitences (in 1191 and 1195) which, according to Flori, "must have" referred to the sin of sodomy.[146] Flori, however, concedes that contemporary accounts of Richard taking women by force exist,[147] concluding that he probably had sexual relations with both men and women.[148]
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Flori and Gillingham nevertheless agree that accounts of bed-sharing do not support the suggestion that Richard had a sexual relationship with King Philip II, as had been suggested by other modern authors.[149]
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The second Great Seal of Richard I (1198) shows him bearing a shield depicting three lions passant-guardant. This is the first instance of the appearance of this blazon, which later became established as the Royal Arms of England. It is likely, therefore, that Richard introduced this heraldic design.[150] In his earlier Great Seal of 1189, he had used either one lion rampant or two lions rampants combatants, which arms he may have adopted from his father.[151]
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Richard is also credited with having originated the English crest of a lion statant (now statant-guardant).[152] The coat of three lions continues to represent England on several coins of the pound sterling, forms the basis of several emblems of English national sports teams (such as the England national football team, and the team's "Three Lions" anthem),[153] and endures as one of the most recognisable national symbols of England.[154]
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Around the middle of the 13th century, various legends developed that, after Richard's capture, his minstrel Blondel travelled Europe from castle to castle, loudly singing a song known only to the two of them (they had composed it together).[155] Eventually, he came to the place where Richard was being held, and Richard heard the song and answered with the appropriate refrain, thus revealing where the King was incarcerated. The story was the basis of André Ernest Modeste Grétry's opera Richard Cœur-de-Lion and seems to be the inspiration for the opening to Richard Thorpe's film version of Ivanhoe. It seems unconnected to the real Jean 'Blondel' de Nesle, an aristocratic trouvère. It also does not correspond to the historical reality, since the King's jailers did not hide the fact; on the contrary, they publicised it.[156] An early account of this legend is to be found in Claude Fauchet's Recueil de l'origine de la langue et poesie françoise (1581).[157]
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At some time around the 16th century, tales of Robin Hood started to mention him as a contemporary and supporter of King Richard the Lionheart, Robin being driven to outlawry, during the misrule of Richard's evil brother John, while Richard was away at the Third Crusade.[158]
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Richard's reputation over the years has "fluctuated wildly", according to historian John Gillingham.[159]
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While contemporary sources emphasize his stern and unforgiving nature and his excessive cruelty, his image had already been romanticized a few decades after his death, with the new views on Richard depicting him as generous-hearted preux chevalier.[160]
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Richard left an indelible imprint on the imagination extending to the present, in large part because of his military exploits, and his popular image tended to be dominated by the positive qualities of chivalry and military competence.[134] This is reflected in Steven Runciman's final verdict of Richard I: "he was a bad son, a bad husband, and a bad king, but a gallant and splendid soldier" ("History of the Crusades" Vol. III). Meanwhile, Muslim writers[161] during the Crusades period and after wrote of him: "Never have we had to face a bolder or more subtle opponent".[161]
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Victorian England was divided on Richard: many admired him as a crusader and man of God, erecting an heroic statue to him outside the Houses of Parliament. The late-Victorian scholar William Stubbs, on the other hand, thought him "a bad son, a bad husband, a selfish ruler, and a vicious man". During his ten years' reign, he was in England for no more than six months, and was totally absent for the last five years.[159] Stubbs argued that:
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He was a bad king: his great exploits, his military skill, his splendour and extravagance, his poetical tastes, his adventurous spirit, do not serve to cloak his entire want of sympathy, or even consideration, for his people. He was no Englishman, but it does not follow that he gave to Normandy, Anjou, or Aquitaine the love or care that he denied to his kingdom. His ambition was that of a mere warrior: he would fight for anything whatever, but he would sell everything that was worth fighting for. The glory that he sought was that of victory rather than conquest.[162]
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In World War I, when British troops commanded by General Edmund Allenby captured Jerusalem, the British press printed cartoons of Richard looking down from the heavens with the caption reading, "At last my dream has come true".[163] General Allenby protested against his campaign being presented as a latter-day Crusade, however, stating "The importance of Jerusalem lay in its strategic importance, there was no religious impulse in this campaign".[164]
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Richard I (8 September 1157 – 6 April 1199) was King of England from 1189 until his death. He also ruled as Duke of Normandy, Aquitaine and Gascony, Lord of Cyprus, Count of Poitiers, Anjou, Maine, and Nantes, and was overlord of Brittany at various times during the same period. He was the third of five sons of King Henry II of England and Duchess Eleanor of Aquitaine and seemed unlikely to become king, but all of his brothers except the youngest, John, predeceased their father. Richard is known as Richard Cœur de Lion (Norman French: Le quor de lion) or Richard the Lionheart because of his reputation as a great military leader and warrior.[1] The troubador Bertran de Born also called him Richard Oc-e-Non (Occitan for Yes and No), possibly from a reputation for terseness.[2]
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By the age of 16, Richard had taken command of his own army, putting down rebellions in Poitou against his father.[1] Richard was an important Christian commander during the Third Crusade, leading the campaign after the departure of Philip II of France and achieving considerable victories against his Muslim counterpart, Saladin, although he failed to retake Jerusalem.[3]
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Richard probably spoke both French and Occitan.[4] He was born in England, where he spent his childhood; before becoming king, however, he lived most of his adult life in the Duchy of Aquitaine, in the southwest of France. Following his accession, he spent very little time, perhaps as little as six months, in England. Most of his life as king was spent on Crusade, in captivity, or actively defending his lands in France. Rather than regarding his kingdom as a responsibility requiring his presence as ruler, he has been perceived as preferring to use it merely as a source of revenue to support his armies.[5] Nevertheless, he was seen as a pious hero by his subjects.[6] He remains one of the few kings of England remembered more commonly by his epithet than his regnal number, and is an enduring iconic figure both in England and in France.[7]
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Richard was born on 8 September 1157,[8] probably at Beaumont Palace,[9] in Oxford, England, son of King Henry II of England and Duchess Eleanor of Aquitaine. He was a younger brother of Henry the Young King and Matilda, Duchess of Saxony.[10] As a younger son of King Henry II, he was not expected to ascend to the throne.[11] He was also an elder brother of Geoffrey II, Duke of Brittany; Queen Eleanor of Castile; Queen Joan of Sicily; and Count John of Mortain, who succeeded him as king. Richard was the younger maternal half-brother of Marie of France, Countess of Champagne, and Alix, Countess of Blois.[10] Henry II and Eleanor's eldest son William IX, Count of Poitiers, died before Richard's birth.[10] Richard is often depicted as having been the favourite son of his mother.[12] His father was Angevin-Norman and great-grandson of William the Conqueror. Contemporary historian Ralph de Diceto traced his family's lineage through Matilda of Scotland to the Anglo-Saxon kings of England and Alfred the Great, and from there legend linked them to Noah and Woden. According to Angevin family tradition, there was even 'infernal blood' in their ancestry, with a claimed descent from the fairy, or female demon, Melusine.[9][13]
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While his father visited his lands from Scotland to France, Richard probably spent his childhood in England. His first recorded visit to the European continent was in May 1165, when his mother took him to Normandy.[14] His wet nurse was Hodierna of St Albans, whom he gave a generous pension after he became king.[15] Little is known about Richard's education.[16] Although he was born in Oxford and brought up in England up to his eighth year, it is not known to what extent he used or understood English; he was an educated man who composed poetry and wrote in Limousin (lenga d'òc) and also in French.[17] During his captivity, English prejudice against foreigners was used in a calculated way by his brother John to help destroy the authority of Richard's chancellor, William Longchamp, who was a Norman. One of the specific charges laid against Longchamp, by John's supporter Hugh Nonant, was that he could not speak English. This indicates that by the late 12th century a knowledge of English was expected of those in positions of authority in England.[18][19]
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Richard was said to be very attractive; his hair was between red and blond, and he was light-eyed with a pale complexion. According to Clifford Brewer, he was 6 feet 5 inches (1.96 m),[20] though that is unverifiable since his remains have been lost since at least the French Revolution. John, his youngest brother, was known to be 5 feet 5 inches (1.65 m). The Itinerarium peregrinorum et gesta regis Ricardi, a Latin prose narrative of the Third Crusade, states that: "He was tall, of elegant build; the colour of his hair was between red and gold; his limbs were supple and straight. He had long arms suited to wielding a sword. His long legs matched the rest of his body".[21]
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From an early age, Richard showed significant political and military ability, becoming noted for his chivalry and courage as he fought to control the rebellious nobles of his own territory.
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Marriage alliances were common among medieval royalty: they led to political alliances and peace treaties and allowed families to stake claims of succession on each other's lands. In March 1159 it was arranged that Richard would marry one of the daughters of Ramon Berenguer IV, Count of Barcelona; however, these arrangements failed, and the marriage never took place. Henry the Young King was married to Margaret, daughter of Louis VII of France, on 2 November 1160.[22] Despite this alliance between the Plantagenets and the Capetians, the dynasty on the French throne, the two houses were sometimes in conflict. In 1168, the intercession of Pope Alexander III was necessary to secure a truce between them. Henry II had conquered Brittany and taken control of Gisors and the Vexin, which had been part of Margaret's dowry.[23]
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Early in the 1160s there had been suggestions Richard should marry Alys, Countess of the Vexin, fourth daughter of Louis VII; because of the rivalry between the kings of England and France, Louis obstructed the marriage. A peace treaty was secured in January 1169 and Richard's betrothal to Alys was confirmed.[24] Henry II planned to divide his and Eleanor's territories among their three eldest surviving sons: Henry would become King of England and have control of Anjou, Maine, and Normandy; Richard would inherit Aquitaine and Poitiers from his mother; and Geoffrey would become Duke of Brittany through marriage with Constance, heir presumptive of Conan IV. At the ceremony where Richard's betrothal was confirmed, he paid homage to the King of France for Aquitaine, thus securing ties of vassalage between the two.[25]
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After Henry II fell seriously ill in 1170, he enacted his plan to divide his kingdom, although he would retain overall authority over his sons and their territories. Young Henry was crowned as heir apparent in June 1170, and in 1171 Richard left for Aquitaine with his mother, and Henry II gave him the duchy of Aquitaine at the request of Eleanor.[26] Richard and his mother embarked on a tour of Aquitaine in 1171 in an attempt to pacify the locals.[27] Together they laid the foundation stone of St Augustine's Monastery in Limoges. In June 1172, at age 12, Richard was formally recognised as the duke of Aquitaine and count of Poitou when he was granted the lance and banner emblems of his office; the ceremony took place in Poitiers and was repeated in Limoges, where he wore the ring of St Valerie, who was the personification of Aquitaine.[28][29]
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According to Ralph of Coggeshall, Henry the Young King instigated rebellion against Henry II; he wanted to reign independently over at least part of the territory his father had promised him, and to break away from his dependence on Henry II, who controlled the purse strings.[30] There were rumors that Eleanor might have encouraged her sons to revolt against their father.[31]
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Henry the Young King abandoned his father and left for the French court, seeking the protection of Louis VII; his younger brothers, Richard and Geoffrey, soon followed him, while the five-year-old John remained in England. Louis gave his support to the three brothers and even knighted Richard, tying them together through vassalage.[32]
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Jordan Fantosme, a contemporary poet, described the rebellion as a "war without love".[33]
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The brothers made an oath at the French court that they would not make terms with Henry II without the consent of Louis VII and the French barons.[35] With the support of Louis, Henry the Young King attracted many barons to his cause through promises of land and money; one such baron was Philip I, Count of Flanders, who was promised £1,000 and several castles. The brothers also had supporters ready to rise up in England. Robert de Beaumont, 3rd Earl of Leicester, joined forces with Hugh Bigod, 1st Earl of Norfolk, Hugh de Kevelioc, 5th Earl of Chester, and William I of Scotland for a rebellion in Suffolk. The alliance with Louis was initially successful, and by July 1173 the rebels were besieging Aumale, Neuf-Marché, and Verneuil, and Hugh de Kevelioc had captured Dol in Brittany.[36] Richard went to Poitou and raised the barons who were loyal to himself and his mother in rebellion against his father. Eleanor was captured, so Richard was left to lead his campaign against Henry II's supporters in Aquitaine on his own. He marched to take La Rochelle but was rejected by the inhabitants; he withdrew to the city of Saintes, which he established as a base of operations.[37][38]
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In the meantime, Henry II had raised a very expensive army of more than 20,000 mercenaries with which to face the rebellion.[36] He marched on Verneuil, and Louis retreated from his forces. The army proceeded to recapture Dol and subdued Brittany. At this point Henry II made an offer of peace to his sons; on the advice of Louis the offer was refused.[39] Henry II's forces took Saintes by surprise and captured much of its garrison, although Richard was able to escape with a small group of soldiers. He took refuge in Château de Taillebourg for the rest of the war.[37] Henry the Young King and the Count of Flanders planned to land in England to assist the rebellion led by the Earl of Leicester. Anticipating this, Henry II returned to England with 500 soldiers and his prisoners (including Eleanor and his sons' wives and fiancées),[40] but on his arrival found out that the rebellion had already collapsed. William I of Scotland and Hugh Bigod were captured on 13 and 25 July respectively. Henry II returned to France and raised the siege of Rouen, where Louis VII had been joined by Henry the Young King after abandoning his plan to invade England. Louis was defeated and a peace treaty was signed in September 1174,[39] the Treaty of Montlouis.[41]
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When Henry II and Louis VII made a truce on 8 September 1174, its terms specifically excluded Richard.[40][42] Abandoned by Louis and wary of facing his father's army in battle, Richard went to Henry II's court at Poitiers on 23 September and begged for forgiveness, weeping and falling at the feet of Henry, who gave Richard the kiss of peace.[40][42] Several days later, Richard's brothers joined him in seeking reconciliation with their father.[40] The terms the three brothers accepted were less generous than those they had been offered earlier in the conflict (when Richard was offered four castles in Aquitaine and half of the income from the duchy):[35] Richard was given control of two castles in Poitou and half the income of Aquitaine; Henry the Young King was given two castles in Normandy; and Geoffrey was permitted half of Brittany. Eleanor remained Henry II's prisoner until his death, partly as insurance for Richard's good behaviour.[43]
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After the conclusion of the war, the process of pacifying the provinces that had rebelled against Henry II began. The King travelled to Anjou for this purpose, and Geoffrey dealt with Brittany. In January 1175 Richard was dispatched to Aquitaine to punish the barons who had fought for him. The historian John Gillingham notes that the chronicle of Roger of Howden is the main source for Richard's activities in this period.[44] According to the chronicle, most of the castles belonging to rebels were to be returned to the state they were in 15 days before the outbreak of war, while others were to be razed.[44] Given that by this time it was common for castles to be built in stone, and that many barons had expanded or refortified their castles, this was not an easy task.[45] Roger of Howden records the two-month siege of Castillon-sur-Agen; while the castle was "notoriously strong", Richard's siege engines battered the defenders into submission.[46] On this campaign, Richard acquired the name "the Lion" or "the Lionheart" due to his noble, brave and fierce leadership.[47][45]He is referred to as "this our lion" (hic leo noster) as early as 1187 in the Topographia Hibernica of Giraldus Cambrensis,[48] while the byname "lionheart" (le quor de lion) is first recorded in Ambroise's L'Estoire de la Guerre Sainte in the context of the Accon campaign of 1191.[49]
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Henry seemed unwilling to entrust any of his sons with resources that could be used against him. It was suspected that Henry had appropriated Alys, Richard's betrothed, the daughter of Louis VII of France by his second wife, as his mistress. This made a marriage between Richard and Alys technically impossible in the eyes of the Church, but Henry prevaricated: he regarded Alys's dowry, Vexin in the Île-de-France, as valuable. Richard was discouraged from renouncing Alys because she was the sister of King Philip II of France, a close ally.[50][51][52]
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After his failure to overthrow his father, Richard concentrated on putting down internal revolts by the nobles of Aquitaine, especially in the territory of Gascony. The increasing cruelty of his rule led to a major revolt there in 1179. Hoping to dethrone Richard, the rebels sought the help of his brothers Henry and Geoffrey. The turning point came in the Charente Valley in the spring of 1179. The well-defended fortress of Taillebourg seemed impregnable. The castle was surrounded by a cliff on three sides and a town on the fourth side with a three-layer wall. Richard first destroyed and looted the farms and lands surrounding the fortress, leaving its defenders no reinforcements or lines of retreat. The garrison sallied out of the castle and attacked Richard; he was able to subdue the army and then followed the defenders inside the open gates, where he easily took over the castle in two days. Richard the Lionheart's victory at Taillebourg deterred many barons from thinking of rebelling and forced them to declare their loyalty to him. It also won Richard a reputation as a skilled military commander.[citation needed]
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In 1181–1182 Richard faced a revolt over the succession to the county of Angoulême. His opponents turned to Philip II of France for support, and the fighting spread through the Limousin and Périgord. The excessive cruelty of Richard's punitive campaigns aroused even more hostility.[53] However, with support from his father and from the Young King, Richard the Lionheart eventually succeeded in bringing the Viscount Aimar V of Limoges and Count Elie of Périgord to terms.[citation needed]
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After Richard had subdued his rebellious barons he again challenged his father. From 1180 to 1183 the tension between Henry and Richard grew, as King Henry commanded Richard to pay homage to Henry the Young King, but Richard refused. Finally, in 1183 Henry the Young King and Geoffrey, Duke of Brittany, invaded Aquitaine in an attempt to subdue Richard. Richard's barons joined in the fray and turned against their duke. However, Richard and his army succeeded in holding back the invading armies, and they executed any prisoners. The conflict paused briefly in June 1183 when the Young King died. With the death of Henry the Young King, Richard became the eldest surviving son and therefore heir to the English crown. King Henry demanded that Richard give up Aquitaine (which he planned to give to his youngest son John as his inheritance). Richard refused, and conflict continued between them. Henry II soon gave John permission to invade Aquitaine.[citation needed]
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To strengthen his position, in 1187, Richard allied himself with 22-year-old Philip II, the son of Eleanor's ex-husband Louis VII by Adela of Champagne. Roger of Howden wrote:
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The King of England was struck with great astonishment, and wondered what [this alliance] could mean, and, taking precautions for the future, frequently sent messengers into France for the purpose of recalling his son Richard; who, pretending that he was peaceably inclined and ready to come to his father, made his way to Chinon, and, in spite of the person who had the custody thereof, carried off the greater part of his father's treasures, and fortified his castles in Poitou with the same, refusing to go to his father.[54]
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Overall, Howden is chiefly concerned with the politics of the relationship between Richard and King Philip. Gillingham has addressed theories suggesting that this political relationship was also sexually intimate, which he posits probably stemmed from an official record announcing that, as a symbol of unity between the two countries, the kings of England and France had slept overnight in the same bed. Gillingham has characterized this as "an accepted political act, nothing sexual about it;... a bit like a modern-day photo opportunity".[55]
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In exchange for Philip's help against his father, Richard promised to concede to him his rights to both Normandy and Anjou. Richard paid homage to Philip in November 1187. With news arriving of the Battle of Hattin, he took the cross at Tours in the company of other French nobles.[citation needed]
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In 1188 Henry II planned to concede Aquitaine to his youngest son John. But Richard objected. He felt that Aquitaine was his and that John was unfit to take over the land once belonging to his mother. This refusal is what finally made Henry II bring Queen Eleanor out of prison. He sent her to Aquitaine and demanded that Richard give up his lands to his mother, who would once again rule over those lands.[56]
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The following year, Richard attempted to take the throne of England for himself by joining Philip's expedition against his father. On 4 July 1189, the forces of Richard and Philip defeated Henry's army at Ballans. Henry, with John's consent, agreed to name Richard his heir apparent. Two days later Henry II died in Chinon, and Richard the Lionheart succeeded him as King of England, Duke of Normandy, and Count of Anjou. Roger of Howden claimed that Henry's corpse bled from the nose in Richard's presence, which was assumed to be a sign that Richard had caused his death.[citation needed]
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Richard I was officially invested as Duke of Normandy on 20 July 1189 and crowned king in Westminster Abbey on 3 September 1189.[57] Tradition barred all Jews and women from the investiture, but some Jewish leaders arrived to present gifts for the new king.[58] According to Ralph of Diceto, Richard's courtiers stripped and flogged the Jews, then flung them out of court.[59]
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When a rumour spread that Richard had ordered all Jews to be killed, the people of London attacked the Jewish population.[59] Many Jewish homes were destroyed by arsonists, and several Jews were forcibly converted.[59] Some sought sanctuary in the Tower of London, and others managed to escape. Among those killed was Jacob of Orléans, a respected Jewish scholar.[60] Roger of Howden, in his Gesta Regis Ricardi, claimed that the jealous and bigoted citizens started the rioting, and that Richard punished the perpetrators, allowing a forcibly converted Jew to return to his native religion. Baldwin of Forde, Archbishop of Canterbury, reacted by remarking, "If the King is not God's man, he had better be the devil's".[61]
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Offended that he was not being obeyed and realising that the assaults could destabilise his realm on the eve of his departure on crusade, Richard ordered the execution of those responsible for the most egregious murders and persecutions, including rioters who had accidentally burned down Christian homes.[62] He distributed a royal writ demanding that the Jews be left alone. The edict was only loosely enforced, however, and the following March further violence occurred, including a massacre at York.[63]
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Richard had already taken the cross as Count of Poitou in 1187. His father and Philip II had done so at Gisors on 21 January 1188 after receiving news of the fall of Jerusalem to Saladin. After Richard became king, he and Philip agreed to go on the Third Crusade, since each feared that during his absence the other might usurp his territories.[64]
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Richard swore an oath to renounce his past wickedness in order to show himself worthy to take the cross. He started to raise and equip a new crusader army. He spent most of his father's treasury (filled with money raised by the Saladin tithe), raised taxes, and even agreed to free King William I of Scotland from his oath of subservience to Richard in exchange for 10,000 marks (£6,500). To raise still more revenue he sold the right to hold official positions, lands, and other privileges to those interested in them.[65] Those already appointed were forced to pay huge sums to retain their posts. William Longchamp, Bishop of Ely and the King's chancellor, made a show of bidding £3,000 to remain as Chancellor. He was apparently outbid by a certain Reginald the Italian, but that bid was refused.[citation needed]
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Richard made some final arrangements on the continent.[66] He reconfirmed his father's appointment of William Fitz Ralph to the important post of seneschal of Normandy. In Anjou, Stephen of Tours was replaced as seneschal and temporarily imprisoned for fiscal mismanagement. Payn de Rochefort, an Angevin knight, became seneschal of Anjou. In Poitou the ex-provost of Benon, Peter Bertin, was made seneschal, and finally, the household official Helie de La Celle was picked for the seneschalship in Gascony. After repositioning the part of his army he left behind to guard his French possessions, Richard finally set out on the crusade in summer 1190.[66] (His delay was criticised by troubadours] such as Bertran de Born.) He appointed as regents Hugh de Puiset, Bishop of Durham, and William de Mandeville, 3rd Earl of Essex—who soon died and was replaced by William Longchamp.[67] Richard's brother John was not satisfied by this decision and started scheming against William Longchamp. When Richard was raising funds for his crusade, he was said to declare, "I would have sold London if I could find a buyer".[68]
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In September 1190 Richard and Philip arrived in Sicily.[69] After the death of King William II of Sicily in 1189 his cousin Tancred had seized power, although the legal heir was William's aunt Constance, wife of Henry VI, Holy Roman Emperor. Tancred had imprisoned William's widow, Queen Joan, who was Richard's sister and did not give her the money she had inherited in William's will. When Richard arrived he demanded that his sister be released and given her inheritance; she was freed on 28 September, but without the inheritance.[70] The presence of foreign troops also caused unrest: in October, the people of Messina revolted, demanding that the foreigners leave.[71] Richard attacked Messina, capturing it on 4 October 1190.[71] After looting and burning the city Richard established his base there, but this created tension between Richard and Philip Augustus. He remained there until Tancred finally agreed to sign a treaty on 4 March 1191. The treaty was signed by Richard, Philip, and Tancred.[72] Its main terms were:
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The two kings stayed on in Sicily for a while, but this resulted in increasing tensions between them and their men, with Philip Augustus plotting with Tancred against Richard.[73] The two kings finally met to clear the air and reached an agreement, including the end of Richard's betrothal to Philip's sister Alys.[74]
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In April 1191 Richard left Messina for Acre, but a storm dispersed his large fleet.[75] After some searching, it was discovered that the ship carrying his sister Joan and his new fiancée, Berengaria of Navarre, was anchored on the south coast of Cyprus, along with the wrecks of several other vessels, including the treasure ship. Survivors of the wrecks had been taken prisoner by the island's ruler, Isaac Komnenos.[76]
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On 1 May 1191 Richard's fleet arrived in the port of Lemesos on Cyprus.[76] He ordered Isaac to release the prisoners and treasure.[76] Isaac refused, so Richard landed his troops and took Limassol.[77] Various princes of the Holy Land arrived in Limassol at the same time, in particular Guy of Lusignan. All declared their support for Richard provided that he support Guy against his rival, Conrad of Montferrat.[78]
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The local magnates abandoned Isaac, who considered making peace with Richard, joining him on the crusade, and offering his daughter in marriage to the person named by Richard.[79] Isaac changed his mind, however, and tried to escape. Richard's troops, led by Guy de Lusignan, conquered the whole island by 1 June. Isaac surrendered and was confined with silver chains because Richard had promised that he would not place him in irons. Richard named Richard de Camville and Robert of Thornham as governors. He later sold the island to the master of Knights Templar, Robert de Sablé, and it was subsequently acquired, in 1192, by Guy of Lusignan and became a stable feudal kingdom.[80]
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The rapid conquest of the island by Richard was of strategic importance. The island occupies a key strategic position on the maritime lanes to the Holy Land, whose occupation by the Christians could not continue without support from the sea.[80] Cyprus remained a Christian stronghold until the battle of Lepanto (1571).[81] Richard's exploit was well publicised and contributed to his reputation, and he also derived significant financial gains from the conquest of the island.[81] Richard left Cyprus for Acre on 5 June with his allies.[81]
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Before leaving Cyprus on crusade, Richard married Berengaria, the first-born daughter of King Sancho VI of Navarre. Richard first grew close to her at a tournament held in her native Navarre.[82] The wedding was held in Limassol on 12 May 1191 at the Chapel of St George and was attended by Richard's sister Joan, whom he had brought from Sicily. The marriage was celebrated with great pomp and splendour, many feasts and entertainments, and public parades and celebrations followed commemorating the event. When Richard married Berengaria he was still officially betrothed to Alys, and he pushed for the match in order to obtain the Kingdom of Navarre as a fief, as Aquitaine had been for his father. Further, Eleanor championed the match, as Navarre bordered Aquitaine, thereby securing the southern border of her ancestral lands. Richard took his new wife on crusade with him briefly, though they returned separately. Berengaria had almost as much difficulty in making the journey home as her husband did, and she did not see England until after his death. After his release from German captivity, Richard showed some regret for his earlier conduct, but he was not reunited with his wife.[83] The marriage remained childless.[citation needed]
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King Richard landed at Acre on 8 June 1191.[84] He gave his support to his Poitevin vassal Guy of Lusignan, who had brought troops to help him in Cyprus. Guy was the widower of his father's cousin Sibylla of Jerusalem and was trying to retain the kingship of Jerusalem, despite his wife's death during the Siege of Acre the previous year.[85] Guy's claim was challenged by Conrad of Montferrat, second husband of Sibylla's half-sister, Isabella: Conrad, whose defence of Tyre had saved the kingdom in 1187, was supported by Philip of France, son of his first cousin Louis VII of France, and by another cousin, Leopold V, Duke of Austria.[86] Richard also allied with Humphrey IV of Toron, Isabella's first husband, from whom she had been forcibly divorced in 1190. Humphrey was loyal to Guy and spoke Arabic fluently, so Richard used him as a translator and negotiator.[87]
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Richard and his forces aided in the capture of Acre, despite Richard's serious illness. At one point, while sick from scurvy, he is said to have picked off guards on the walls with a crossbow, while being carried on a stretcher. Eventually, Conrad of Montferrat concluded the surrender negotiations with Saladin's forces inside Acre and raised the banners of the kings in the city. Richard quarrelled with Leopold of Austria over the deposition of Isaac Komnenos (related to Leopold's Byzantine mother) and his position within the crusade. Leopold's banner had been raised alongside the English and French standards. This was interpreted as arrogance by both Richard and Philip, as Leopold was a vassal of the Holy Roman Emperor (although he was the highest-ranking surviving leader of the imperial forces). Richard's men tore the flag down and threw it in the moat of Acre.[88] Leopold left the crusade immediately. Philip also left soon afterwards, in poor health and after further disputes with Richard over the status of Cyprus (Philip demanded half the island) and the kingship of Jerusalem.[89] Richard, suddenly, found himself without allies.[citation needed]
|
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Richard had kept 2,700 Muslim prisoners as hostages against Saladin fulfilling all the terms of the surrender of the lands around Acre.[90] Philip, before leaving, had entrusted his prisoners to Conrad, but Richard forced him to hand them over to him. Richard feared his forces being bottled up in Acre as he believed his campaign could not advance with the prisoners in train. He, therefore, ordered all the prisoners executed. He then moved south, defeating Saladin's forces at the Battle of Arsuf 30 miles (50 km) north of Jaffa on 7 September 1191. Saladin attempted to harass Richard's army into breaking its formation in order to defeat it in detail. Richard maintained his army's defensive formation, however, until the Hospitallers broke ranks to charge the right wing of Saladin's forces. Richard then ordered a general counterattack, which won the battle. Arsuf was an important victory. The Muslim army was not destroyed, despite the considerable casualties it suffered, but it did rout; this was considered shameful by the Muslims and boosted the morale of the Crusaders. In November 1191, following the fall of Jaffa, the Crusader army advanced inland towards Jerusalem. The army then marched to Beit Nuba, only 12 miles from Jerusalem. Muslim morale in Jerusalem was so low that the arrival of the Crusaders would probably have caused the city to fall quickly. However, the weather was appallingly bad, cold with heavy rain and hailstorms; this, combined with the fear that the Crusader army, if it besieged Jerusalem, might be trapped by a relieving force, led to the decision to retreat back to the coast.[91] Richard attempted to negotiate with Saladin, but this was unsuccessful. In the first half of 1192, he and his troops refortified Ascalon.[citation needed]
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+
An election forced Richard to accept Conrad of Montferrat as King of Jerusalem, and he sold Cyprus to his defeated protégé, Guy. Only days later, on 28 April 1192, Conrad was stabbed to death by Assassins[92] before he could be crowned. Eight days later Richard's own nephew Henry II of Champagne was married to the widowed Isabella, although she was carrying Conrad's child. The murder has never been conclusively solved, and Richard's contemporaries widely suspected his involvement.[93]
|
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+
|
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+
The crusader army made another advance on Jerusalem, and in June 1192 it came within sight of the city before being forced to retreat once again, this time because of dissension amongst its leaders. In particular, Richard and the majority of the army council wanted to force Saladin to relinquish Jerusalem by attacking the basis of his power through an invasion of Egypt. The leader of the French contingent, Hugh III, Duke of Burgundy, however, was adamant that a direct attack on Jerusalem should be made. This split the Crusader army into two factions, and neither was strong enough to achieve its objective. Richard stated that he would accompany any attack on Jerusalem but only as a simple soldier; he refused to lead the army. Without a united command the army had little choice but to retreat back to the coast.[94]
|
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+
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+
There commenced a period of minor skirmishes with Saladin's forces, punctuated by another defeat in the field for the Ayyubid army at the Battle of Jaffa. Baha' al-Din, a contemporary Muslim soldier and biographer of Saladin, recorded a tribute to Richard's martial prowess at this battle: "I have been assured ... that on that day the king of England, lance in hand, rode along the whole length of our army from right to left, and not one of our soldiers left the ranks to attack him. The Sultan was wroth thereat and left the battlefield in anger...".[95] Both sides realised that their respective positions were growing untenable. Richard knew that both Philip and his own brother John were starting to plot against him, and the morale of Saladin's army had been badly eroded by repeated defeats. However, Saladin insisted on the razing of Ascalon's fortifications, which Richard's men had rebuilt, and a few other points. Richard made one last attempt to strengthen his bargaining position by attempting to invade Egypt—Saladin's chief supply-base—but failed. In the end, time ran out for Richard. He realised that his return could be postponed no longer since both Philip and John were taking advantage of his absence. He and Saladin finally came to a settlement on 2 September 1192. The terms provided for the destruction of Ascalon's fortifications, allowed Christian pilgrims and merchants access to Jerusalem, and initiated a three-year truce.[96] Richard, being ill with scurvy, left for England on October 9, 1192.[97]
|
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+
Bad weather forced Richard's ship to put in at Corfu, in the lands of Byzantine Emperor Isaac II Angelos, who objected to Richard's annexation of Cyprus, formerly Byzantine territory. Disguised as a Knight Templar, Richard sailed from Corfu with four attendants, but his ship was wrecked near Aquileia, forcing Richard and his party into a dangerous land route through central Europe. On his way to the territory of his brother-in-law Henry the Lion, Richard was captured shortly before Christmas 1192 near Vienna by Leopold of Austria, who accused Richard of arranging the murder of his cousin Conrad of Montferrat. Moreover, Richard had personally offended Leopold by casting down his standard from the walls of Acre.[citation needed]
|
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|
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+
Leopold kept Richard prisoner at Dürnstein Castle under the care of Leopold's ministerialis Hadmar of Kuenring.[98] His mishap was soon known to England, but the regents were for some weeks uncertain of his whereabouts. While in prison, Richard wrote Ja nus hons pris or Ja nuls om pres ("No man who is imprisoned"), which is addressed to his half-sister Marie. He wrote the song, in French and Occitan versions, to express his feelings of abandonment by his people and his sister. The detention of a crusader was contrary to public law,[99][100] and on these grounds Pope Celestine III excommunicated Duke Leopold.[citation needed]
|
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|
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+
On 28 March 1193 Richard was brought to Speyer and handed over to Holy Roman Emperor Henry VI, who imprisoned him in Trifels Castle. Henry VI was aggrieved by the support the Plantagenets had given to the family of Henry the Lion and by Richard's recognition of Tancred in Sicily.[99] Henry VI needed money to raise an army and assert his rights over southern Italy and continued to hold Richard for ransom. In response, Pope Celestine III excommunicated Henry VI, as he had Duke Leopold, for the continued wrongful imprisonment of Richard. Richard famously refused to show deference to the Emperor and declared to him, "I am born of a rank which recognises no superior but God".[101] Despite his complaints, the conditions of his captivity were not severe.[citation needed]
|
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|
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The Emperor demanded that 150,000 marks (100,000 pounds of silver) be delivered to him before he would release the King, the same amount raised by the Saladin tithe only a few years earlier,[102] and 2–3 times the annual income for the English Crown under Richard. Richard's mother, Eleanor, worked to raise the ransom. Both clergy and laymen were taxed for a quarter of the value of their property, the gold and silver treasures of the churches were confiscated, and money was raised from the scutage and the carucage taxes. At the same time, John, Richard's brother, and King Philip of France offered 80,000 marks for Henry VI to hold Richard prisoner until Michaelmas 1194. Henry turned down the offer. The money to rescue the King was transferred to Germany by the Emperor's ambassadors, but "at the king's peril" (had it been lost along the way, Richard would have been held responsible), and finally, on 4 February 1194 Richard was released. Philip sent a message to John: "Look to yourself; the devil is loose".[103]
|
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+
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+
In Richard's absence, his brother John revolted with the aid of Philip; amongst Philip's conquests in the period of Richard's imprisonment was Normandy.[104] Richard forgave John when they met again and named him as his heir in place of their nephew, Arthur. At Winchester, on 11 March 1194, Richard was crowned a second time to nullify the shame of his captivity.[105]
|
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|
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+
Richard began his reconquest of Normandy. The fall of the Château de Gisors to the French in 1193 opened a gap in the Norman defences. The search began for a fresh site for a new castle to defend the duchy of Normandy and act as a base from which Richard could launch his campaign to take back the Vexin from French control.[106] A naturally defensible position was identified perched high above the River Seine, an important transport route, in the manor of Andeli. Under the terms of the Treaty of Louviers (December 1195) between Richard and Philip II, neither king was allowed to fortify the site; despite this, Richard intended to build the vast Château Gaillard.[107] Richard tried to obtain the manor through negotiation. Walter de Coutances, Archbishop of Rouen, was reluctant to sell the manor as it was one of the diocese's most profitable, and other lands belonging to the diocese had recently been damaged by war.[107] When Philip besieged Aumale in Normandy, Richard grew tired of waiting and seized the manor,[107][108] although the act was opposed by the Catholic Church.[109] The archbishop issued an interdict against performing church services in the duchy of Normandy; Roger of Howden detailed "unburied bodies of the dead lying in the streets and square of the cities of Normandy". The interdict was still in force when work began on the castle, but Pope Celestine III repealed it in April 1197 after Richard made gifts of land to the archbishop and the diocese of Rouen, including two manors and the prosperous port of Dieppe.[110][111]
|
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|
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+
Royal expenditure on castles declined from the levels spent under Henry II, attributed to a concentration of resources on Richard's war with the king of France.[112] However, the work at Château Gaillard was some of the most expensive of its time and cost an estimated £15,000 to £20,000 between 1196 and 1198.[113] This was more than double Richard's spending on castles in England, an estimated £7,000.[114] Unprecedented in its speed of construction, the castle was mostly complete in two years when most construction on such a scale would have taken the best part of a decade.[113] According to William of Newburgh, in May 1198 Richard and the labourers working on the castle were drenched in a "rain of blood". While some of his advisers thought the rain was an evil omen, Richard was undeterred.[115]
|
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+
As no master-mason is mentioned in the otherwise detailed records of the castle's construction, military historian Allen Brown has suggested that Richard himself was the overall architect; this is supported by the interest Richard showed in the work through his frequent presence.[116] In his final years, the castle became Richard's favourite residence, and writs and charters were written at Château Gaillard bearing "apud Bellum Castrum de Rupe" (at the Fair Castle of the Rock).[117]
|
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Château Gaillard was ahead of its time, featuring innovations that would be adopted in castle architecture nearly a century later. Allen Brown described Château Gaillard as "one of the finest castles in Europe",[117] and military historian Sir Charles Oman wrote that it was considered "the masterpiece of its time. The reputation of its builder, Cœur de Lion, as a great military engineer might stand firm on this single structure. He was no mere copyist of the models he had seen in the East, but introduced many original details of his own invention into the stronghold".[118]
|
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Determined to resist Philip's designs on contested Angevin lands such as the Vexin and Berry, Richard poured all his military expertise and vast resources into the war on the French King. He organised an alliance against Philip, including Baldwin IX of Flanders, Renaud, Count of Boulogne, and his father-in-law King Sancho VI of Navarre, who raided Philip's lands from the south. Most importantly, he managed to secure the Welf inheritance in Saxony for his nephew, Henry the Lion's son, who was elected Otto IV of Germany in 1198.[citation needed]
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Partly as a result of these and other intrigues, Richard won several victories over Philip. At Fréteval in 1194, just after Richard's return to France from captivity and money-raising in England, Philip fled, leaving his entire archive of financial audits and documents to be captured by Richard. At the Battle of Gisors (sometimes called Courcelles) in 1198, Richard took Dieu et mon Droit—"God and my Right"—as his motto (still used by the British monarchy today), echoing his earlier boast to Emperor Henry that his rank acknowledged no superior but God.[citation needed]
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In March 1199, Richard was in Limousin suppressing a revolt by Viscount Aimar V of Limoges. Although it was Lent, he "devastated the Viscount's land with fire and sword".[120] He besieged the puny, virtually unarmed castle of Châlus-Chabrol. Some chroniclers claimed that this was because a local peasant had uncovered a treasure trove of Roman gold.[121]
|
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On 26 March 1199, Richard was hit in the shoulder by a crossbow, and the wound turned gangrenous.[122] Richard asked to have the crossbowman brought before him; called alternatively Pierre (or Peter) Basile, John Sabroz, Dudo,[123][124] and Bertrand de Gourdon (from the town of Gourdon) by chroniclers, the man turned out (according to some sources, but not all) to be a boy. He said Richard had killed his father and two brothers, and that he had killed Richard in revenge. He expected to be executed, but as a final act of mercy Richard forgave him, saying "Live on, and by my bounty behold the light of day", before he ordered the boy to be freed and sent away with 100 shillings.[125] It is unclear whether the pardon was upheld following his death. Richard then set his affairs in order, bequeathing all his territory to his brother John and his jewels to his nephew Otto.[citation needed]
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Richard died on 6 April 1199 in the arms of his mother, and thus "ended his earthly day."[126] Because of the nature of Richard's death, it was later referred to as "the Lion by the Ant was slain".[127] According to one chronicler, Richard's last act of chivalry proved fruitless when the infamous mercenary captain Mercadier had the boy flayed alive and hanged as soon as Richard died.[128]
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Richard's heart was buried at Rouen in Normandy, his entrails in Châlus (where he died), and the rest of his body at the feet of his father at Fontevraud Abbey in Anjou.[129] In 2012, scientists analysed the remains of Richard's heart and found that it had been embalmed with various substances, including frankincense, a symbolically important substance because it had been present both at the birth and embalming of the Christ.[130]
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Henry Sandford, Bishop of Rochester (1226–1235), announced that he had seen a vision of Richard ascending to Heaven in March 1232 (along with Stephen Langton, the former Archbishop of Canterbury), the King having presumably spent 33 years in purgatory as expiation for his sins.[131]
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Richard produced no legitimate heirs and acknowledged only one illegitimate son, Philip of Cognac. As a result, he was succeeded by his brother John as king.[132] However, his French territories, with the exception of Rouen, initially rejected John as a successor, preferring his nephew Arthur, as how royal inheritance rules applied to the situation at the time of Richard’s death was unclear.[133] The lack of any direct heirs from Richard was the first step in the dissolution of the Angevin Empire.[132]
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Contemporaries considered Richard as both a king and a knight famed for personal martial prowess; this was, apparently, the first such instance of this combination.[134] He was known as a valiant, competent military leader and individual fighter who was courageous and generous. At the same time, he was considered prone to the sins of lust, pride, greed, and above all excessive cruelty. Ralph of Coggeshall, summarising Richard's career, deplores that the King was one of "the immense cohort of sinners".[135] He was criticised by clergy chroniclers for having taxed the clergy both for the Crusade and for his ransom, whereas the church and the clergy were usually exempt from taxes.[136]
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Richard was a patron and a protector of the trouvères and troubadours of his entourage; he was also a poet himself.[137][138] He was interested in writing and music, and two poems are attributed to him. The first one is a sirventes in Old French, Dalfin je us voill desrenier, and the second one is a lament that he wrote during his imprisonment at Dürnstein Castle, Ja nus hons pris, with a version in Old Occitan and a version in Old French.[138][139]
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In the historiography of the second half of the 20th century, much interest was shown in Richard's sexuality, in particular whether there was evidence of homosexuality. The topic had not been raised by Victorian or Edwardian historians, a fact which was itself denounced as a "conspiracy of silence" by John Harvey (1948).[140] The argument primarily drew on accounts of Richard's behaviour, as well as of his confessions and penitences, and of his childless marriage.[141] Richard did have at least one illegitimate child, and there are reports on his sexual relations with local women during his campaigns.[142] Historians remain divided on the question of Richard's sexuality.[143] Harvey argued in favour of his homosexuality[144] but has been disputed by other historians, most notably John Gillingham (1994), who argues that Richard was probably heterosexual.[145] Flori (1999) again argued in favour of Richard's homosexuality, based on Richard's two public confessions and penitences (in 1191 and 1195) which, according to Flori, "must have" referred to the sin of sodomy.[146] Flori, however, concedes that contemporary accounts of Richard taking women by force exist,[147] concluding that he probably had sexual relations with both men and women.[148]
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Flori and Gillingham nevertheless agree that accounts of bed-sharing do not support the suggestion that Richard had a sexual relationship with King Philip II, as had been suggested by other modern authors.[149]
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The second Great Seal of Richard I (1198) shows him bearing a shield depicting three lions passant-guardant. This is the first instance of the appearance of this blazon, which later became established as the Royal Arms of England. It is likely, therefore, that Richard introduced this heraldic design.[150] In his earlier Great Seal of 1189, he had used either one lion rampant or two lions rampants combatants, which arms he may have adopted from his father.[151]
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Richard is also credited with having originated the English crest of a lion statant (now statant-guardant).[152] The coat of three lions continues to represent England on several coins of the pound sterling, forms the basis of several emblems of English national sports teams (such as the England national football team, and the team's "Three Lions" anthem),[153] and endures as one of the most recognisable national symbols of England.[154]
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Around the middle of the 13th century, various legends developed that, after Richard's capture, his minstrel Blondel travelled Europe from castle to castle, loudly singing a song known only to the two of them (they had composed it together).[155] Eventually, he came to the place where Richard was being held, and Richard heard the song and answered with the appropriate refrain, thus revealing where the King was incarcerated. The story was the basis of André Ernest Modeste Grétry's opera Richard Cœur-de-Lion and seems to be the inspiration for the opening to Richard Thorpe's film version of Ivanhoe. It seems unconnected to the real Jean 'Blondel' de Nesle, an aristocratic trouvère. It also does not correspond to the historical reality, since the King's jailers did not hide the fact; on the contrary, they publicised it.[156] An early account of this legend is to be found in Claude Fauchet's Recueil de l'origine de la langue et poesie françoise (1581).[157]
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At some time around the 16th century, tales of Robin Hood started to mention him as a contemporary and supporter of King Richard the Lionheart, Robin being driven to outlawry, during the misrule of Richard's evil brother John, while Richard was away at the Third Crusade.[158]
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Richard's reputation over the years has "fluctuated wildly", according to historian John Gillingham.[159]
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While contemporary sources emphasize his stern and unforgiving nature and his excessive cruelty, his image had already been romanticized a few decades after his death, with the new views on Richard depicting him as generous-hearted preux chevalier.[160]
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Richard left an indelible imprint on the imagination extending to the present, in large part because of his military exploits, and his popular image tended to be dominated by the positive qualities of chivalry and military competence.[134] This is reflected in Steven Runciman's final verdict of Richard I: "he was a bad son, a bad husband, and a bad king, but a gallant and splendid soldier" ("History of the Crusades" Vol. III). Meanwhile, Muslim writers[161] during the Crusades period and after wrote of him: "Never have we had to face a bolder or more subtle opponent".[161]
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Victorian England was divided on Richard: many admired him as a crusader and man of God, erecting an heroic statue to him outside the Houses of Parliament. The late-Victorian scholar William Stubbs, on the other hand, thought him "a bad son, a bad husband, a selfish ruler, and a vicious man". During his ten years' reign, he was in England for no more than six months, and was totally absent for the last five years.[159] Stubbs argued that:
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He was a bad king: his great exploits, his military skill, his splendour and extravagance, his poetical tastes, his adventurous spirit, do not serve to cloak his entire want of sympathy, or even consideration, for his people. He was no Englishman, but it does not follow that he gave to Normandy, Anjou, or Aquitaine the love or care that he denied to his kingdom. His ambition was that of a mere warrior: he would fight for anything whatever, but he would sell everything that was worth fighting for. The glory that he sought was that of victory rather than conquest.[162]
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In World War I, when British troops commanded by General Edmund Allenby captured Jerusalem, the British press printed cartoons of Richard looking down from the heavens with the caption reading, "At last my dream has come true".[163] General Allenby protested against his campaign being presented as a latter-day Crusade, however, stating "The importance of Jerusalem lay in its strategic importance, there was no religious impulse in this campaign".[164]
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Richard Milhous Nixon (January 9, 1913 – April 22, 1994) was the 37th president of the United States, serving from 1969 until 1974. A member of the Republican Party, Nixon previously served as the 36th vice president from 1953 to 1961, having risen to national prominence as a representative and senator from California. After five years in the White House that saw the conclusion to the U.S. involvement in the Vietnam War, détente with the Soviet Union and China, and the establishment of the Environmental Protection Agency, he became the only president to resign from the office.
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Nixon was born into a poor family in a small town in Southern California. He graduated from Duke University School of Law in 1937 and returned to California to practice law. He and his wife Pat moved to Washington in 1942 to work for the federal government. He served on active duty in the Navy Reserve during World War II. He was elected to the House of Representatives in 1946. His pursuit of the Hiss Case established his reputation as a leading anti-Communist which elevated him to national prominence. In 1950, he was elected to the Senate. He was the running mate of Dwight D. Eisenhower, the Republican Party's presidential nominee in the 1952 election, subsequently serving for eight years in as the vice president. He unsuccessfully ran for president in 1960, narrowly losing to John F. Kennedy. Nixon then lost a race for governor of California to Pat Brown in 1962. In 1968, he ran for the presidency again and was elected, defeating Hubert Humphrey and George Wallace in a close election.
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Nixon ended American involvement in the war in Vietnam in 1973, ending the military draft that same year. Nixon's visit to China in 1972 eventually led to diplomatic relations between the two nations, and he initiated détente and the Anti-Ballistic Missile Treaty with the Soviet Union the same year. His administration generally transferred power from federal control to state control. He imposed wage and price controls for 90 days, enforced desegregation of Southern schools, established the Environmental Protection Agency, and began the War on Cancer. He also presided over the Apollo 11 moon landing, which signaled the end of the moon race. He was re-elected in one of the largest electoral landslides in American history in 1972 when he defeated George McGovern.
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In his second term, Nixon ordered an airlift to resupply Israeli losses in the Yom Kippur War, a war which led to the oil crisis at home. By late 1973, the Watergate scandal escalated, costing Nixon much of his political support. On August 9, 1974, he resigned in the face of almost certain impeachment and removal from office—the only time an American president has done so. After his resignation, he was issued a controversial pardon by his successor, Gerald Ford. In 20 years of retirement, Nixon wrote his memoirs and nine other books and undertook many foreign trips, thereby rehabilitating his image into that of an elder statesman and leading expert on foreign affairs. He suffered a debilitating stroke on April 18, 1994, and died four days later at age 81.
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Richard Milhous Nixon was born on January 9, 1913, in Yorba Linda, California, in a house built by his father.[2][3] His parents were Hannah (Milhous) Nixon and Francis A. Nixon. His mother was a Quaker, and his father converted from Methodism to the Quaker faith. Through his mother, Nixon was a descendant of the early English settler Thomas Cornell, who was also an ancestor of Ezra Cornell, the founder of Cornell University, as well as of Jimmy Carter and Bill Gates.[4]
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Nixon's upbringing was marked by evangelical Quaker observances of the time such as refraining from alcohol, dancing, and swearing. Nixon had four brothers: Harold (1909–33), Donald (1914–87), Arthur (1918–25), and Edward (1930–2019).[5] Four of the five Nixon boys were named after kings who had ruled in medieval or legendary Britain; Richard, for example, was named after Richard the Lionheart.[6][7]
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Nixon's early life was marked by hardship, and he later quoted a saying of Eisenhower to describe his boyhood: "We were poor, but the glory of it was we didn't know it".[8] The Nixon family ranch failed in 1922, and the family moved to Whittier, California. In an area with many Quakers, Frank Nixon opened a grocery store and gas station.[9] Richard's younger brother Arthur died in 1925 at the age of seven after a short illness.[10] Richard was twelve years old when a spot was found on his lung. With a family history of tuberculosis, he was forbidden to play sports. Eventually, the spot was found to be scar tissue from an early bout of pneumonia.[11][12]
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Richard attended East Whittier Elementary School, where he was president of his eighth-grade class.[13] His parents believed that attending Whittier High School had caused Richard's older brother Harold to live a dissolute lifestyle before he fell ill of tuberculosis (he died of it in 1933), so they sent Richard to the larger Fullerton Union High School.[14][15] He had to ride a school bus for an hour each way during his freshman year and received excellent grades. Later, he lived with an aunt in Fullerton during the week.[16] He played junior varsity football, and seldom missed a practice, though he was rarely used in games.[17] He had greater success as a debater, winning a number of championships and taking his only formal tutelage in public speaking from Fullerton's Head of English, H. Lynn Sheller. Nixon later remembered Sheller's words, "Remember, speaking is conversation...don't shout at people. Talk to them. Converse with them."[18] Nixon said he tried to use a conversational tone as much as possible.[18]
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At the start of his junior year in September 1928, Richard's parents permitted him to transfer to Whittier High School. At Whittier, Nixon suffered his first election defeat when he lost his bid for student body president. He often rose at 4 a.m., to drive the family truck into Los Angeles and purchase vegetables at the market. He then drove to the store to wash and display them before going to school. Harold had been diagnosed with tuberculosis the previous year; when their mother took him to Arizona in the hopes of improving his health, the demands on Richard increased, causing him to give up football. Nevertheless, Richard graduated from Whittier High third in his class of 207.[19]
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Nixon was offered a tuition grant to attend Harvard University, but Harold's continued illness and the need for their mother to care for him meant Richard was needed at the store. He remained in his hometown and attended Whittier College with his expenses covered by a bequest from his maternal grandfather.[20] Nixon played for the basketball team; he also tried out for football but lacked the size to play. He remained on the team as a substitute and was noted for his enthusiasm.[21] Instead of fraternities and sororities, Whittier had literary societies. Nixon was snubbed by the only one for men, the Franklins; many of the Franklins were from prominent families, but Nixon was not. He responded by helping to found a new society, the Orthogonian Society.[22] In addition to the society, schoolwork, and work at the store, Nixon found time for a large number of extracurricular activities, becoming a champion debater and gaining a reputation as a hard worker.[23] In 1933, he became engaged to Ola Florence Welch, daughter of the Whittier police chief. They broke up in 1935.[24]
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After graduating summa cum laude with a Bachelor of Arts degree in history from Whittier in 1934, Nixon received a full scholarship to attend Duke University School of Law.[25] The school was new and sought to attract top students by offering scholarships.[26] It paid high salaries to its professors, many of whom had national or international reputations.[27] The number of scholarships was greatly reduced for second- and third-year students, forcing recipients into intense competition.[26] Nixon not only kept his scholarship but was elected president of the Duke Bar Association,[28] inducted into the Order of the Coif,[29] and graduated third in his class in June 1937.[25]
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After graduating from Duke, Nixon initially hoped to join the FBI. He received no response to his letter of application and learned years later that he had been hired, but his appointment had been canceled at the last minute due to budget cuts.[30] Instead, he returned to California and was admitted to the California bar in 1937. He began practicing in Whittier with the law firm Wingert and Bewley,[25] working on commercial litigation for local petroleum companies and other corporate matters, as well as on wills.[31] In later years, Nixon proudly said he was the only modern president to have previously worked as a practicing attorney. Nixon was reluctant to work on divorce cases, disliking frank sexual talk from women.[32] In 1938, he opened up his own branch of Wingert and Bewley in La Habra, California,[33] and became a full partner in the firm the following year.[34]
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In January 1938 Nixon was cast in the Whittier Community Players production of The Dark Tower. There he played opposite a high school teacher named Thelma "Pat" Ryan.[25] Nixon described it in his memoirs as "a case of love at first sight"[35]—for Nixon only, as Pat Ryan turned down the young lawyer several times before agreeing to date him.[36] Once they began their courtship, Ryan was reluctant to marry Nixon; they dated for two years before she assented to his proposal. They wed in a small ceremony on June 21, 1940. After a honeymoon in Mexico, the Nixons began their married life in Whittier.[37] They had two daughters, Tricia (born 1946) and Julie (born 1948).[38]
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In January 1942 the couple moved to Washington, D.C., where Nixon took a job at the Office of Price Administration.[25] In his political campaigns, Nixon would suggest that this was his response to Pearl Harbor, but he had sought the position throughout the latter part of 1941. Both Nixon and his wife believed he was limiting his prospects by remaining in Whittier.[39] He was assigned to the tire rationing division, where he was tasked with replying to correspondence. He did not enjoy the role, and four months later applied to join the United States Navy.[40] As a birthright Quaker, he could have by law claimed exemption from the draft; he might also have been deferred because he worked in government service. In spite of that, Nixon sought a commission in the Navy. His application was successful, and he was appointed a lieutenant junior grade in the U.S Naval Reserve (U.S. Navy Reserve) on June 15, 1942.[41][42]
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In October 1942, he was assigned as aide to the commander of the Naval Air Station Ottumwa in Iowa until May 1943.[41] Seeking more excitement, he requested sea duty and on July 2, 1943, was assigned to Marine Aircraft Group 25 and the South Pacific Combat Air Transport Command (SCAT), supporting the logistics of operations in the South Pacific Theater.[43][44][45] On October 1, 1943, Nixon was promoted to lieutenant.[41] Nixon commanded the SCAT forward detachments at Vella Lavella, Bougainville, and finally at Green Island (Nissan Island).[41][45] His unit prepared manifests and flight plans for R4D/C-47 operations and supervised the loading and unloading of the transport aircraft. For this service, he received a Navy Letter of Commendation (awarded a Navy Commendation Ribbon which was later updated to the Navy and Marine Corps Commendation Medal) from his commanding officer for "meritorious and efficient performance of duty as Officer in Charge of the South Pacific Combat Air Transport Command". Upon his return to the U.S., Nixon was appointed the administrative officer of the Alameda Naval Air Station in California. In January 1945 he was transferred to the Bureau of Aeronautics office in Philadelphia to help negotiate the termination of war contracts, and received his second letter of commendation, from the Secretary of the Navy[46] for "meritorious service, tireless effort, and devotion to duty". Later, Nixon was transferred to other offices to work on contracts and finally to Baltimore.[47] On October 3, 1945, he was promoted to lieutenant commander.[41][46] On March 10, 1946, he was relieved of active duty.[41] He resigned his commission on New Year's Day 1946.[48] On June 1, 1953, he was promoted to commander.[41] He retired in the U.S. Naval Reserve on June 6, 1966.[41]
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Republicans in California's 12th congressional district were frustrated by their inability to defeat Democratic representative Jerry Voorhis, They sought a consensus candidate who would run a strong campaign against him. In 1945, they formed a "Committee of 100" to decide on a candidate, hoping to avoid internal dissensions which had led to previous Voorhis victories. After the committee failed to attract higher-profile candidates, Herman Perry, manager of Whittier's Bank of America branch, suggested Nixon, a family friend with whom he had served on the Whittier College Board of Trustees before the war. Perry wrote to Nixon in Baltimore. After a night of excited talk between Nixon and his wife, he responded to Perry with enthusiasm. Nixon flew to California and was selected by the committee. When he left the Navy at the start of 1946, Nixon and his wife returned to Whittier, where Nixon began a year of intensive campaigning.[49][50] He contended that Voorhis had been ineffective as a representative and suggested that Voorhis's endorsement by a group linked to Communists meant that Voorhis must have radical views.[51] Nixon won the election, receiving 65,586 votes to Voorhis's 49,994.[52]
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In June 1947, Nixon supported the Taft–Hartley Act, a federal law that monitors the activities and power of labor unions, and he served on the Education and Labor Committee. In August 1947, he became one of 19 House members to serve on the Herter Committee,[53] which went to Europe to report on the need for U.S. foreign aid. Nixon was the youngest member of the committee and the only Westerner.[54] Advocacy by Herter Committee members, including Nixon, led to congressional passage of the Marshall Plan.[55]
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In his memoirs, Nixon wrote that he joined the House Un-American Activities Committee (HUAC) "at the end of 1947". However, he was already a HUAC member in early February 1947, when he heard "Enemy Number One" Gerhard Eisler and his sister Ruth Fischer testify. On February 18, 1947, Nixon referred to Eisler's belligerence toward HUAC in his maiden speech to the House. Also by early February 1947, fellow U.S. Representative Charles J. Kersten had introduced him to Father John Francis Cronin in Baltimore. Cronin shared with Nixon his 1945 privately circulated paper "The Problem of American Communism in 1945",[56] with much information from the FBI's William C. Sullivan (who by 1961 would head domestic intelligence under J. Edgar Hoover).[57]
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By May 1948, Nixon had co-sponsored a "Mundt–Nixon Bill" to implement "a new approach to the complicated problem of internal communist subversion ... It provided for registration of all Communist Party members and required a statement of the source of all printed and broadcast material issued by organizations that were found to be Communist fronts." He served as floor manager for the Republican Party. On May 19, 1948, the bill passed the House by 319 to 58, but later it failed to pass the Senate.[58] (The Nixon Library cites this bill's passage as Nixon's first significant victory in Congress.)[59]
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Nixon first gained national attention in August 1948, when his persistence as a HUAC member helped break the Alger Hiss spy case. While many doubted Whittaker Chambers's allegations that Hiss, a former State Department official, had been a Soviet spy, Nixon believed them to be true and pressed for the committee to continue its investigation. After Hiss filed suit for defamation, Chambers produced documents corroborating his allegations. These included paper and microfilm copies that Chambers turned over to House investigators after having hidden them overnight in a field; they became known as the "Pumpkin Papers".[60] Hiss was convicted of perjury in 1950 for denying under oath he had passed documents to Chambers.[61] In 1948, Nixon successfully cross-filed as a candidate in his district, winning both major party primaries,[62] and was comfortably reelected.[63]
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In 1949, Nixon began to consider running for the United States Senate against the Democratic incumbent, Sheridan Downey,[64] and entered the race in November.[65] Downey, faced with a bitter primary battle with Representative Helen Gahagan Douglas, announced his retirement in March 1950.[66] Nixon and Douglas won the primary elections[67] and engaged in a contentious campaign in which the ongoing Korean War was a major issue.[68] Nixon tried to focus attention on Douglas's liberal voting record. As part of that effort, a "Pink Sheet" was distributed by the Nixon campaign suggesting that, as Douglas's voting record was similar to that of New York Congressman Vito Marcantonio (believed by some to be a communist), their political views must be nearly identical.[69] Nixon won the election by almost twenty percentage points.[70] During this campaign, Nixon was first called "Tricky Dick" by his opponents for his campaign tactics.[71]
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In the Senate, Nixon took a prominent position in opposing global communism, traveling frequently and speaking out against it.[72] He maintained friendly relations with his fellow anti-communist, controversial Wisconsin senator Joseph McCarthy, but was careful to keep some distance between himself and McCarthy's allegations.[73] Nixon also criticized President Harry S. Truman's handling of the Korean War.[72] He supported statehood for Alaska and Hawaii, voted in favor of civil rights for minorities, and supported federal disaster relief for India and Yugoslavia.[74] He voted against price controls and other monetary restrictions, benefits for illegal immigrants, and public power.[74]
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General Dwight D. Eisenhower was nominated for president by the Republicans in 1952. He had no strong preference for a vice-presidential candidate, and Republican officeholders and party officials met in a "smoke-filled room" and recommended Nixon to the general, who agreed to the senator's selection. Nixon's youth (he was then 39), stance against communism, and political base in California—one of the largest states—were all seen as vote-winners by the leaders. Among the candidates considered along with Nixon were Ohio Senator Robert A. Taft, New Jersey Governor Alfred Driscoll and Illinois Senator Everett Dirksen.[75][76] On the campaign trail, Eisenhower spoke to his plans for the country, leaving the negative campaigning to his running mate.[77]
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In mid-September, the Republican ticket faced a major crisis.[78] The media reported that Nixon had a political fund, maintained by his backers, which reimbursed him for political expenses.[79] Such a fund was not illegal but it exposed Nixon to allegations of a possible conflict of interest. With pressure building for Eisenhower to demand Nixon's resignation from the ticket the senator went on television to deliver an address to the nation on September 23, 1952.[80] The address, later termed the Checkers speech, was heard by about 60 million Americans—including the largest television audience up to that point.[81] Nixon emotionally defended himself, stating that the fund was not secret, nor had donors received special favors. He painted himself as a man of modest means (his wife had no mink coat; instead she wore a "respectable Republican cloth coat") and a patriot.[80] The speech would be remembered for the gift which Nixon had received, but which he would not give back: "a little cocker spaniel dog ... sent all the way from Texas. And our little girl—Tricia, the 6-year-old—named it Checkers."[80] The speech prompted a huge public outpouring of support for Nixon.[82] Eisenhower decided to retain him on the ticket,[83] which proved victorious in the November election.[77]
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Eisenhower gave Nixon responsibilities during his term as vice president—more than any previous vice president.[84] Nixon attended Cabinet and National Security Council meetings and chaired them when Eisenhower was absent. A 1953 tour of the Far East succeeded in increasing local goodwill toward the United States and prompted Nixon to appreciate the potential of the region as an industrial center. He visited Saigon and Hanoi in French Indochina.[85] On his return to the United States at the end of 1953, Nixon increased the amount of time he devoted to foreign relations.[86]
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Biographer Irwin Gellman, who chronicled Nixon's congressional years, said of his vice presidency:
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Eisenhower radically altered the role of his running mate by presenting him with critical assignments in both foreign and domestic affairs once he assumed his office. The vice president welcomed the president's initiatives and worked energetically to accomplish White House objectives. Because of the collaboration between these two leaders, Nixon deserves the title, "the first modern vice president".[87]
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Despite intense campaigning by Nixon, who reprised his strong attacks on the Democrats, the Republicans lost control of both houses of Congress in the 1954 elections. These losses caused Nixon to contemplate leaving politics once he had served out his term.[88] On September 24, 1955, President Eisenhower suffered a heart attack; his condition was initially believed to be life-threatening. Eisenhower was unable to perform his duties for six weeks. The 25th Amendment to the United States Constitution had not yet been proposed, and the Vice President had no formal power to act. Nonetheless, Nixon acted in Eisenhower's stead during this period, presiding over Cabinet meetings and ensuring that aides and Cabinet officers did not seek power.[89] According to Nixon biographer Stephen Ambrose, Nixon had "earned the high praise he received for his conduct during the crisis ... he made no attempt to seize power".[90]
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His spirits buoyed, Nixon sought a second term, but some of Eisenhower's aides aimed to displace him. In a December 1955 meeting, Eisenhower proposed that Nixon not run for reelection in order to give him administrative experience before a 1960 presidential run and instead become a Cabinet officer in a second Eisenhower administration. Nixon believed such an action would destroy his political career. When Eisenhower announced his reelection bid in February 1956, he hedged on the choice of his running mate, saying it was improper to address that question until he had been renominated. Although no Republican was opposing Eisenhower, Nixon received a substantial number of write-in votes against the President in the 1956 New Hampshire primary election. In late April, the President announced that Nixon would again be his running mate.[91] Eisenhower and Nixon were reelected by a comfortable margin in the November 1956 election.[92]
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In early 1957, Nixon undertook another major foreign trip, this time to Africa. On his return, he helped shepherd the Civil Rights Act of 1957 through Congress. The bill was weakened in the Senate, and civil rights leaders were divided over whether Eisenhower should sign it. Nixon advised the President to sign the bill, which he did.[93] Eisenhower suffered a mild stroke in November 1957, and Nixon gave a press conference, assuring the nation that the Cabinet was functioning well as a team during Eisenhower's brief illness.[94]
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On April 27, 1958, Richard and Pat Nixon reluctantly embarked on a goodwill tour of South America. In Montevideo, Uruguay, Nixon made an impromptu visit to a college campus, where he fielded questions from students on U.S. foreign policy. The trip was uneventful until the Nixon party reached Lima, Peru, where he was met with student demonstrations. Nixon went to the historical campus of National University of San Marcos, the oldest university in the Americas, got out of his car to confront the students, and stayed until forced back into the car by a volley of thrown objects. At his hotel, Nixon faced another mob, and one demonstrator spat on him.[95] In Caracas, Venezuela, Nixon and his wife were spat on by anti-American demonstrators and their limousine was attacked by a pipe-wielding mob.[96] According to Ambrose, Nixon's courageous conduct "caused even some of his bitterest enemies to give him some grudging respect".[97] Reporting to the cabinet after the trip, Nixon claimed there was "absolute proof that [the protestors] were directed and controlled by a central Communist conspiracy." Secretary of State John Foster Dulles concurred in this view; Director of Central Intelligence Allen Dulles sharply rebuked it.[98]
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In July 1959 President Eisenhower sent Nixon to the Soviet Union for the opening of the American National Exhibition in Moscow. On July 24, Nixon was touring the exhibits with Soviet Premier Nikita Khrushchev when the two stopped at a model of an American kitchen and engaged in an impromptu exchange about the merits of capitalism versus communism that became known as the "Kitchen Debate".[99]
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In 1960 Nixon launched his first campaign for President of the United States. He faced little opposition in the Republican primaries[100] and chose former Massachusetts Senator Henry Cabot Lodge Jr. as his running mate.[101] His Democratic opponent was John F. Kennedy and the race remained close for the duration.[102] Nixon campaigned on his experience but Kennedy called for new blood and claimed the Eisenhower–Nixon administration had allowed the Soviet Union to overtake the U.S. in ballistic missiles (the "missile gap").[103]
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A new political medium was introduced in the campaign: televised presidential debates. In the first of four such debates Nixon appeared pale, with a five o'clock shadow, in contrast to the photogenic Kennedy.[101] Nixon's performance in the debate was perceived to be mediocre in the visual medium of television, though many people listening on the radio thought Nixon had won.[104] Nixon narrowly lost the election; Kennedy won the popular vote by only 112,827 votes (0.2 percent).[101]
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There were charges of voter fraud in Texas and Illinois, both states won by Kennedy. Nixon refused to consider contesting the election, feeling a lengthy controversy would diminish the United States in the eyes of the world and the uncertainty would hurt U.S. interests.[105] At the end of his term of office as vice president in January 1961, Nixon and his family returned to California, where he practiced law and wrote a bestselling book, Six Crises, which included coverage of the Hiss case, Eisenhower's heart attack, and the Fund Crisis, which had been resolved by the Checkers speech.[101][106]
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Local and national Republican leaders encouraged Nixon to challenge incumbent Pat Brown for Governor of California in the 1962 election.[101] Despite initial reluctance, Nixon entered the race.[101] The campaign was clouded by public suspicion that Nixon viewed the office as a stepping stone for another presidential run, some opposition from the far-right of the party, and his own lack of interest in being California's governor.[101] Nixon hoped a successful run would confirm his status as the nation's leading active Republican politician, and ensure he remained a major player in national politics.[107] Instead, he lost to Brown by more than five percentage points, and the defeat was widely believed to be the end of his political career.[101] In an impromptu concession speech the morning after the election, Nixon blamed the media for favoring his opponent, saying, "You won't have Nixon to kick around anymore because, gentlemen, this is my last press conference."[108] The California defeat was highlighted in the November 11, 1962, episode of ABC's Howard K. Smith: News and Comment, titled "The Political Obituary of Richard M. Nixon".[109] Alger Hiss appeared on the program, and many members of the public complained that it was unseemly to give a convicted felon air time to attack a former vice president. The furor drove Smith and his program from the air,[110] and public sympathy for Nixon grew.[109]
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In 1963 the Nixon family traveled to Europe, where Nixon gave press conferences and met with leaders of the countries he visited.[111] The family moved to New York City, where Nixon became a senior partner in the leading law firm Nixon, Mudge, Rose, Guthrie & Alexander.[101] When announcing his California campaign, Nixon had pledged not to run for president in 1964; even if he had not, he believed it would be difficult to defeat Kennedy, or after his assassination, Kennedy's successor, Lyndon Johnson.[112]
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In 1964, he supported Arizona Senator Barry Goldwater for the Republican nomination for U.S. president; when Goldwater won the nomination, Nixon was selected to introduce him at the convention. Although he thought Goldwater unlikely to win, Nixon campaigned for him loyally. The election was a disaster for the Republicans; Goldwater's landslide loss to Johnson was matched by heavy losses for the party in Congress and among state governors.[113]
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Nixon was one of the few leading Republicans not blamed for the disastrous results, and he sought to build on that in the 1966 Congressional elections. He campaigned for many Republicans, seeking to regain seats lost in the Johnson landslide, and received credit for helping the Republicans make major gains that year.[114]
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At the end of 1967, Nixon told his family he planned to run for president a second time. Although Pat Nixon did not always enjoy public life[115] (for example, she had been embarrassed by the need to reveal how little the family owned in the Checkers speech),[116] she was supportive of her husband's ambitions. Nixon believed that with the Democrats torn over the issue of the Vietnam War, a Republican had a good chance of winning, although he expected the election to be as close as in 1960.[115]
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One of the most tumultuous primary election seasons ever began as the Tet Offensive was launched in January 1968. President Johnson withdrew as a candidate in March, after doing unexpectedly poorly in the New Hampshire primary. In June, Senator Robert F. Kennedy, a Democratic candidate, was assassinated just moments after his victory in the California primary. On the Republican side, Nixon's main opposition was Michigan Governor George Romney, though New York Governor Nelson Rockefeller and California Governor Ronald Reagan each hoped to be nominated in a brokered convention. Nixon secured the nomination on the first ballot.[117] He selected Maryland Governor Spiro Agnew as his running mate, a choice which Nixon believed would unite the party, appealing both to Northern moderates and to Southerners disaffected with the Democrats.[118]
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Nixon's Democratic opponent in the general election was Vice President Hubert Humphrey, who was nominated at a convention marked by violent protests.[119] Throughout the campaign, Nixon portrayed himself as a figure of stability during a period of national unrest and upheaval.[119] He appealed to what he later called the "silent majority" of socially conservative Americans who disliked the hippie counterculture and the anti-war demonstrators. Agnew became an increasingly vocal critic of these groups, solidifying Nixon's position with the right.[120]
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Nixon waged a prominent television advertising campaign, meeting with supporters in front of cameras.[121] He stressed that the crime rate was too high, and attacked what he perceived as a surrender by the Democrats of the United States' nuclear superiority.[122] Nixon promised "peace with honor" in the Vietnam War and proclaimed that "new leadership will end the war and win the peace in the Pacific".[123] He did not release specifics of how he hoped to end the war, resulting in media intimations that he must have a "secret plan".[123] His slogan of "Nixon's the One" proved to be effective.[121]
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Johnson's negotiators hoped to reach a truce, or at least a cessation of bombings, in Vietnam prior to the election. On October 22, 1968, candidate Nixon received information that Johnson was preparing a so-called "October surprise" to elect Humphrey in the last days of the campaign, and his administration had abandoned three non-negotiable conditions for a bombing halt.[124] Whether the Nixon campaign interfered with any ongoing negotiations between the Johnson administration and the South Vietnamese by engaging Anna Chennault, a prominent Chinese-American fundraiser for the Republican party, remains an ongoing controversy. While notes uncovered in 2016 may support such a contention, the context of said notes remains of debate.[124] It is not clear whether the government of South Vietnam needed much encouragement to opt out of a peace process they considered disadvantageous.[125]
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In a three-way race between Nixon, Humphrey, and American Independent Party candidate former Alabama Governor George Wallace, Nixon defeated Humphrey by nearly 500,000 votes (seven-tenths of a percentage point), with 301 electoral votes to 191 for Humphrey and 46 for Wallace.[119][126] In his victory speech, Nixon pledged that his administration would try to bring the divided nation together.[127] Nixon said: "I have received a very gracious message from the Vice President, congratulating me for winning the election. I congratulated him for his gallant and courageous fight against great odds. I also told him that I know exactly how he felt. I know how it feels to lose a close one."[128]
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Nixon was inaugurated as president on January 20, 1969, sworn in by his onetime political rival, Chief Justice Earl Warren. Pat Nixon held the family Bibles open at Isaiah 2:4, which reads, "They shall beat their swords into plowshares, and their spears into pruning hooks." In his inaugural address, which received almost uniformly positive reviews, Nixon remarked that "the greatest honor history can bestow is the title of peacemaker"[129]—a phrase that would later be placed on his gravestone.[130] He spoke about turning partisan politics into a new age of unity:
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In these difficult years, America has suffered from a fever of words; from inflated rhetoric that promises more than it can deliver; from angry rhetoric that fans discontents into hatreds; from bombastic rhetoric that postures instead of persuading. We cannot learn from one another until we stop shouting at one another, until we speak quietly enough so that our words can be heard as well as our voices.[131]
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The relationship between Nixon and Henry Kissinger, his National Security Advisor was unusually close. It has been compared to the relationships of Woodrow Wilson and Colonel House, or Franklin D. Roosevelt and Harry Hopkins.[132] In all three cases, State Department was relegated to a backseat role in developing foreign-policy.[133] Historian David Rothkopf has compared the personalities of Nixon and Kissinger:
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Nixon laid the groundwork for his overture to China before he became president, writing in Foreign Affairs a year before his election: "There is no place on this small planet for a billion of its potentially most able people to live in angry isolation."[135] Assisting him in this venture was Kissinger, in charge of his United States National Security Council and future Secretary of State. They collaborated closely, bypassing Cabinet officials. With relations between the Soviet Union and China at a nadir—border clashes between the two took place during Nixon's first year in office—Nixon sent private word to the Chinese that he desired closer relations. A breakthrough came in early 1971, when Chairman Mao invited a team of American table tennis players to visit China and play against top Chinese players. Nixon followed up by sending Kissinger to China for clandestine meetings with Chinese officials.[135] On July 15, 1971, it was simultaneously announced by Beijing and by Nixon (on television and radio) that the President would visit China the following February. The announcements astounded the world.[136] The secrecy allowed both sets of leaders time to prepare the political climate in their countries for the contact.[137]
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In February 1972, Nixon and his wife traveled to China. Kissinger briefed Nixon for over 40 hours in preparation.[138] Upon touching down, the President and First Lady emerged from Air Force One and greeted Chinese Premier Zhou Enlai. Nixon made a point of shaking Zhou's hand, something which then-Secretary of State John Foster Dulles had refused to do in 1954 when the two met in Geneva.[139] More than a hundred television journalists accompanied the president. On Nixon's orders, television was strongly favored over printed publications, as Nixon felt that the medium would capture the visit much better than print. It also gave him the opportunity to snub the print journalists he despised.[139]
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Nixon and Kissinger met for an hour with Mao and Zhou at Mao's official private residence, where they discussed a range of issues.[140] Mao later told his doctor that he had been impressed by Nixon, whom he considered forthright, unlike the leftists and the Soviets.[140] He said he was suspicious of Kissinger,[140] though the National Security Advisor referred to their meeting as his "encounter with history".[139] A formal banquet welcoming the presidential party was given that evening in the Great Hall of the People. The following day, Nixon met with Zhou; the joint communique following this meeting recognized Taiwan as a part of China, and looked forward to a peaceful solution to the problem of reunification.[141] When not in meetings, Nixon toured architectural wonders including the Forbidden City, Ming Tombs, and the Great Wall.[139] Americans received their first glimpse into Chinese life through the cameras which accompanied Pat Nixon, who toured the city of Beijing and visited communes, schools, factories, and hospitals.[139]
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The visit ushered in a new era of Sino-American relations.[119] Fearing the possibility of a Sino-American alliance, the Soviet Union yielded to pressure for détente with the United States.[142]
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When Nixon took office, about 300 American soldiers were dying each week in Vietnam,[143] and the war was broadly unpopular in the United States, with ongoing violent protests against the war. The Johnson administration had agreed to suspend bombing in exchange for negotiations without preconditions, but this agreement never fully took force. According to Walter Isaacson, soon after taking office, Nixon had concluded that the Vietnam War could not be won and he was determined to end the war quickly.[144] He sought some arrangement which would permit American forces to withdraw, while leaving South Vietnam secure against attack.[145]
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Nixon approved a secret B-52 carpet bombing campaign of North Vietnamese (and, later, allied Khmer Rouge) positions in Cambodia in March 1969 (code-named Operation Menu), without the consent of Cambodian leader Norodom Sihanouk.[146][147][148] In mid-1969, Nixon began efforts to negotiate peace with the North Vietnamese, sending a personal letter to North Vietnamese leaders, and peace talks began in Paris. Initial talks, however, did not result in an agreement.[149] In May 1969 he publicly proposed to withdraw all American troops from South Vietnam provided North Vietnam also did so and for South Vietnam to hold internationally supervised elections with Viet Cong participation.[150]
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In July 1969, Nixon visited South Vietnam, where he met with his U.S. military commanders and President Nguyễn Văn Thiệu. Amid protests at home demanding an immediate pullout, he implemented a strategy of replacing American troops with Vietnamese troops, known as "Vietnamization".[119] He soon instituted phased U.S. troop withdrawals,[151] but also authorized incursions into Laos, in part to interrupt the Ho Chi Minh trail, which passed through Laos and Cambodia and was used to supply North Vietnamese forces. Nixon announced the ground invasion of Cambodia to the American public on April 30, 1970.[152] Further protests erupted against what was perceived as an expansion of the conflict, and the unrest escalated to violence when Ohio National Guardsmen shot and killed four unarmed students on May 4.[153] Nixon's responses to protesters included an impromptu, early morning meeting with them at the Lincoln Memorial on May 9, 1970.[154][155][156] Documents uncovered from the Soviet archives after 1991 reveal that the North Vietnamese attempt to overrun Cambodia in 1970 was launched at the explicit request of the Khmer Rouge and negotiated by Pol Pot's then-second-in-command, Nuon Chea.[157] Nixon's campaign promise to curb the war, contrasted with the escalated bombing, led to claims that Nixon had a "credibility gap" on the issue.[151] It is estimated that between 50,000 and 150,000 people were killed during the bombing of Cambodia between 1970 and 1973.[147]
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In 1971, excerpts from the "Pentagon Papers", which had been leaked by Daniel Ellsberg, were published by The New York Times and The Washington Post. When news of the leak first appeared, Nixon was inclined to do nothing; the Papers, a history of United States' involvement in Vietnam, mostly concerned the lies of prior administrations and contained few real revelations. He was persuaded by Kissinger that the Papers were more harmful than they appeared, and the President tried to prevent publication. The Supreme Court eventually ruled for the newspapers.[158]
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As U.S. troop withdrawals continued, conscription was reduced and in 1973 ended; the armed forces became all-volunteer.[159] After years of fighting, the Paris Peace Accords were signed at the beginning of 1973. The agreement implemented a cease fire and allowed for the withdrawal of remaining American troops without requiring the 160,000 North Vietnam Army regulars located in the South to withdraw.[160] Once American combat support ended, there was a brief truce, before fighting broke out again. North Vietnam conquered South Vietnam in 1975.[161]
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Nixon had been a firm supporter of Kennedy during the 1961 Bay of Pigs Invasion and 1962 Cuban Missile Crisis. On taking office in 1969, he stepped up covert operations against Cuba and its president, Fidel Castro. He maintained close relations with the Cuban-American exile community through his friend, Bebe Rebozo, who often suggested ways of irritating Castro. These activities concerned the Soviets and Cubans, who feared Nixon might attack Cuba and break the understanding between Kennedy and Khrushchev which had ended the missile crisis. In August 1970, the Soviets asked Nixon to reaffirm the understanding; despite his hard line against Castro, Nixon agreed. The process had not yet been completed when the Soviets began expanding their base at the Cuban port of Cienfuegos in October 1970. A minor confrontation ensued, which was concluded with an understanding that the Soviets would not use Cienfuegos for submarines bearing ballistic missiles. The final round of diplomatic notes, reaffirming the 1962 accord, were exchanged in November.[162]
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The election of Marxist candidate Salvador Allende as President of Chile in September 1970 spurred Nixon and Kissinger to pursue a vigorous campaign of covert resistance to Allende,[163]:25 first designed to convince the Chilean congress to confirm Jorge Alessandri as the winner of the election and then messages to military officers in support of a coup.[163] Other support included strikes organized against Allende and funding for Allende opponents. It was even alleged that "Nixon personally authorized" $700,000 in covert funds to print anti-Allende messages in a prominent Chilean newspaper.[163]:93 Following an extended period of social, political, and economic unrest, General Augusto Pinochet assumed power in a violent coup d'état on September 11, 1973; among the dead was Allende.[164]
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Nixon used the improving international environment to address the topic of nuclear peace. Following the announcement of his visit to China, the Nixon administration concluded negotiations for him to visit the Soviet Union. The President and First Lady arrived in Moscow on May 22, 1972, and met with Leonid Brezhnev, the General Secretary of the Communist Party; Alexei Kosygin, the Chairman of the Council of Ministers; and Nikolai Podgorny, the head of state, among other leading Soviet officials.[165]
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Nixon engaged in intense negotiations with Brezhnev.[165] Out of the summit came agreements for increased trade and two landmark arms control treaties: SALT I, the first comprehensive limitation pact signed by the two superpowers,[119] and the Anti-Ballistic Missile Treaty, which banned the development of systems designed to intercept incoming missiles. Nixon and Brezhnev proclaimed a new era of "peaceful coexistence". A banquet was held that evening at the Kremlin.[165]
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Nixon and Kissinger planned to link arms control to détente and to the resolution of other urgent problems through what Nixon called "linkage." David Tal argues:
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Seeking to foster better relations with the United States, China and the Soviet Union both cut back on their diplomatic support for North Vietnam and advised Hanoi to come to terms militarily.[167] Nixon later described his strategy:
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I had long believed that an indispensable element of any successful peace initiative in Vietnam was to enlist, if possible, the help of the Soviets and the Chinese. Though rapprochement with China and détente with the Soviet Union were ends in themselves, I also considered them possible means to hasten the end of the war. At worst, Hanoi was bound to feel less confident if Washington was dealing with Moscow and Beijing. At best, if the two major Communist powers decided that they had bigger fish to fry, Hanoi would be pressured into negotiating a settlement we could accept.[168]
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During the previous two years, Nixon had made considerable progress in U.S.–Soviet relations, and he embarked on a second trip to the Soviet Union in 1974.[169] He arrived in Moscow on June 27 to a welcome ceremony, cheering crowds, and a state dinner at the Grand Kremlin Palace that evening.[169] Nixon and Brezhnev met in Yalta, where they discussed a proposed mutual defense pact, détente, and MIRVs. Nixon considered proposing a comprehensive test-ban treaty, but he felt he would not have time to complete it during his presidency.[169] There were no significant breakthroughs in these negotiations.[169]
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As part of the Nixon Doctrine, the U.S. avoided giving direct combat assistance to its allies and instead gave them assistance to defend themselves. During the Nixon administration, the U.S. greatly increased arms sales to the Middle East, particularly Israel, Iran and Saudi Arabia.[170] The Nixon administration strongly supported Israel, an American ally in the Middle East, but the support was not unconditional. Nixon believed Israel should make peace with its Arab neighbors and that the U.S. should encourage it. The president believed that—except during the Suez Crisis—the U.S. had failed to intervene with Israel, and should use the leverage of the large U.S. military aid to Israel to urge the parties to the negotiating table. The Arab-Israeli conflict was not a major focus of Nixon's attention during his first term—for one thing, he felt that no matter what he did, American Jews would oppose his reelection.[a]
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On October 6, 1973, an Arab coalition led by Egypt and Syria, supported with arms and materiel by the Soviet Union, attacked Israel in the Yom Kippur War. Israel suffered heavy losses and Nixon ordered an airlift to resupply Israeli losses, cutting through inter-departmental squabbles and bureaucracy and taking personal responsibility for any response by Arab nations. More than a week later, by the time the U.S. and Soviet Union began negotiating a truce, Israel had penetrated deep into enemy territory. The truce negotiations rapidly escalated into a superpower crisis; when Israel gained the upper hand, Egyptian President Sadat requested a joint U.S.–USSR peacekeeping mission, which the U.S. refused. When Soviet Premier Brezhnev threatened to unilaterally enforce any peacekeeping mission militarily, Nixon ordered the U.S. military to DEFCON3,[171] placing all U.S. military personnel and bases on alert for nuclear war. This was the closest the world had come to nuclear war since the Cuban Missile Crisis. Brezhnev backed down as a result of Nixon's actions.[172]
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Because Israel's victory was largely due to U.S. support, the Arab OPEC nations retaliated by refusing to sell crude oil to the U.S., resulting in the 1973 oil crisis.[173] The embargo caused gasoline shortages and rationing in the United States in late 1973, and was eventually ended by the oil-producing nations as peace in the Middle East took hold.[174]
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After the war, and under Nixon's presidency, the U.S. reestablished relations with Egypt for the first time since 1967. Nixon used the Middle East crisis to restart the stalled Middle East Peace Negotiations; he wrote in a confidential memo to Kissinger on October 20:
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I believe that, beyond a doubt, we are now facing the best opportunity we have had in 15 years to build a lasting peace in the Middle East. I am convinced history will hold us responsible if we let this opportunity slip by ... I now consider a permanent Middle East settlement to be the most important final goal to which we must devote ourselves.[175]
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Nixon made one of his final international visits as president to the Middle East in June 1974, and became the first President to visit Israel.[176]
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At the time Nixon took office in 1969, inflation was at 4.7 percent—its highest rate since the Korean War. The Great Society had been enacted under Johnson, which, together with the Vietnam War costs, was causing large budget deficits. Unemployment was low, but interest rates were at their highest in a century.[177] Nixon's major economic goal was to reduce inflation; the most obvious means of doing so was to end the war.[177] This could not be accomplished overnight, and the U.S. economy continued to struggle through 1970, contributing to a lackluster Republican performance in the midterm congressional elections (Democrats controlled both Houses of Congress throughout Nixon's presidency).[178] According to political economist Nigel Bowles in his 2011 study of Nixon's economic record, the new president did little to alter Johnson's policies through the first year of his presidency.[179]
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Nixon was far more interested in foreign affairs than domestic policies, but he believed that voters tend to focus on their own financial condition, and that economic conditions were a threat to his reelection. As part of his "New Federalism" views, he proposed grants to the states, but these proposals were for the most part lost in the congressional budget process. However, Nixon gained political credit for advocating them.[178] In 1970, Congress had granted the President the power to impose wage and price freezes, though the Democratic majorities, knowing Nixon had opposed such controls through his career, did not expect Nixon to actually use the authority.[179] With inflation unresolved by August 1971, and an election year looming, Nixon convened a summit of his economic advisers at Camp David. He then announced temporary wage and price controls, allowed the dollar to float against other currencies, and ended the convertibility of the dollar into gold.[180] Bowles points out,
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by identifying himself with a policy whose purpose was inflation's defeat, Nixon made it difficult for Democratic opponents ... to criticize him. His opponents could offer no alternative policy that was either plausible or believable since the one they favored was one they had designed but which the president had appropriated for himself.[179]
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Nixon's policies dampened inflation through 1972, although their aftereffects contributed to inflation during his second term and into the Ford administration.[180]
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After Nixon won re-election, inflation was returning.[181] He reimposed price controls in June 1973. The price controls became unpopular with the public and businesspeople, who saw powerful labor unions as preferable to the price board bureaucracy.[181] The controls produced food shortages, as meat disappeared from grocery stores and farmers drowned chickens rather than sell them at a loss.[181] Despite the failure to control inflation, controls were slowly ended, and on April 30, 1974, their statutory authorization lapsed.[181]
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Nixon advocated a "New Federalism", which would devolve power to state and local elected officials, though Congress was hostile to these ideas and enacted few of them.[182] He eliminated the Cabinet-level United States Post Office Department, which in 1971 became the government-run United States Postal Service.[183]
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Nixon was a late supporter of the conservation movement. Environmental policy had not been a significant issue in the 1968 election, and the candidates were rarely asked for their views on the subject. Nixon broke new ground by discussing environmental policy in his State of the Union speech in 1970. He saw that the first Earth Day in April 1970 presaged a wave of voter interest on the subject, and sought to use that to his benefit; in June he announced the formation of the Environmental Protection Agency (EPA).[184] He relied on his domestic advisor John Ehrlichman, who favored protection of natural resources, to keep him "out of trouble on environmental issues."[185] Other initiatives supported by Nixon included the Clean Air Act of 1970 and the Occupational Safety and Health Administration (OSHA), and the National Environmental Policy Act required environmental impact statements for many Federal projects.[185][184] Nixon vetoed the Clean Water Act of 1972—objecting not to the policy goals of the legislation but to the amount of money to be spent on them, which he deemed excessive. After Congress overrode his veto, Nixon impounded the funds he deemed unjustifiable.[186]
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In 1971, Nixon proposed health insurance reform—a private health insurance employer mandate,[b] federalization of Medicaid for poor families with dependent minor children,[187] and support for health maintenance organizations (HMOs).[188] A limited HMO bill was enacted in 1973.[188] In 1974, Nixon proposed more comprehensive health insurance reform—a private health insurance employer mandate[b] and replacement of Medicaid by state-run health insurance plans available to all, with income-based premiums and cost sharing.[189]
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Nixon was concerned about the prevalence of domestic drug use in addition to drug use among American soldiers in Vietnam. He called for a War on Drugs and pledged to cut off sources of supply abroad. He also increased funds for education and for rehabilitation facilities.[190]
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As one policy initiative, Nixon called for more money for sickle-cell research, treatment, and education in February 1971[191] and signed the National Sickle Cell Anemia Control Act on May 16, 1972.[192][193][c] While Nixon called for increased spending on such high-profile items as sickle-cell disease and for a War on Cancer, at the same time he sought to reduce overall spending at the National Institutes of Health.[194]
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The Nixon presidency witnessed the first large-scale integration of public schools in the South.[195] Nixon sought a middle way between the segregationist Wallace and liberal Democrats, whose support of integration was alienating some Southern whites.[196] Hopeful of doing well in the South in 1972, he sought to dispose of desegregation as a political issue before then. Soon after his inauguration, he appointed Vice President Agnew to lead a task force, which worked with local leaders—both white and black—to determine how to integrate local schools. Agnew had little interest in the work, and most of it was done by Labor Secretary George Shultz. Federal aid was available, and a meeting with President Nixon was a possible reward for compliant committees. By September 1970, less than ten percent of black children were attending segregated schools. By 1971, however, tensions over desegregation surfaced in Northern cities, with angry protests over the busing of children to schools outside their neighborhood to achieve racial balance. Nixon opposed busing personally but enforced court orders requiring its use.[197]
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Some scholars, such as James Morton Turner and John Isenberg, believe that Nixon, who had advocated for civil rights in his 1960 campaign, slowed down desegregation as president, appealing to the racial conservatism of Southern whites, who were angered by the civil rights movement. This, he hoped, would boost his election chances in 1972.[198][199]
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In addition to desegregating public schools, Nixon implemented the Philadelphia Plan in 1970—the first significant federal affirmative action program.[200] He also endorsed the Equal Rights Amendment after it passed both houses of Congress in 1972 and went to the states for ratification.[201] He also pushed for African American civil rights and economic equity through a concept known as black capitalism.[202] Nixon had campaigned as an ERA supporter in 1968, though feminists criticized him for doing little to help the ERA or their cause after his election. Nevertheless, he appointed more women to administration positions than Lyndon Johnson had.[203]
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After a nearly decade-long national effort, the United States won the race to land astronauts on the Moon on July 20, 1969, with the flight of Apollo 11. Nixon spoke with Neil Armstrong and Buzz Aldrin during their moonwalk. He called the conversation "the most historic phone call ever made from the White House".[204]
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Nixon was unwilling to keep funding for the National Aeronautics and Space Administration (NASA) at the high level seen during the 1960s as NASA prepared to send men to the Moon. NASA Administrator Thomas O. Paine drew up ambitious plans for the establishment of a permanent base on the Moon by the end of the 1970s and the launch of a manned expedition to Mars as early as 1981. Nixon rejected both proposals due to the expense.[205] Nixon also canceled the Air Force Manned Orbital Laboratory program in 1969, because unmanned spy satellites were a more cost-effective way to achieve the same reconnaissance objective.[206] NASA cancelled the last three planned Apollo lunar missions to place Skylab in orbit more efficiently and free money up for the design and construction of the Space Shuttle.[207]
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On May 24, 1972, Nixon approved a five-year cooperative program between NASA and the Soviet space program, culminating in the 1975 joint mission of an American Apollo and Soviet Soyuz spacecraft linking in space.[208]
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Nixon believed his rise to power had peaked at a moment of political realignment. The Democratic "Solid South" had long been a source of frustration to Republican ambitions. Goldwater had won several Southern states by opposing the Civil Rights Act of 1964 but had alienated more moderate Southerners. Nixon's efforts to gain Southern support in 1968 were diluted by Wallace's candidacy. Through his first term, he pursued a Southern Strategy with policies, such as his desegregation plans, that would be broadly acceptable among Southern whites, encouraging them to realign with the Republicans in the aftermath of the civil rights movement. He nominated two Southern conservatives, Clement Haynsworth and G. Harrold Carswell to the Supreme Court, but neither was confirmed by the Senate.[209]
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Nixon entered his name on the New Hampshire primary ballot on January 5, 1972, effectively announcing his candidacy for reelection.[210] Virtually assured the Republican nomination,[211] the President had initially expected his Democratic opponent to be Massachusetts Senator Edward M. Kennedy (brother of the late President), who was largely removed from contention after the July 1969 Chappaquiddick incident.[212] Instead, Maine Senator Edmund Muskie became the front runner, with South Dakota Senator George McGovern in a close second place.[210]
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On June 10, McGovern won the California primary and secured the Democratic nomination.[213] The following month, Nixon was renominated at the 1972 Republican National Convention. He dismissed the Democratic platform as cowardly and divisive.[214] McGovern intended to sharply reduce defense spending[215] and supported amnesty for draft evaders as well as abortion rights. With some of his supporters believed to be in favor of drug legalization, McGovern was perceived as standing for "amnesty, abortion and acid". McGovern was also damaged by his vacillating support for his original running mate, Missouri Senator Thomas Eagleton, dumped from the ticket following revelations that he had received treatment for depression.[216][217] Nixon was ahead in most polls for the entire election cycle, and was reelected on November 7, 1972, in one of the largest landslide election victories in American history. He defeated McGovern with over 60 percent of the popular vote, losing only in Massachusetts and D.C.[218]
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The term Watergate has come to encompass an array of clandestine and often illegal activities undertaken by members of the Nixon administration. Those activities included "dirty tricks," such as bugging the offices of political opponents, and the harassment of activist groups and political figures. The activities were brought to light after five men were caught breaking into the Democratic party headquarters at the Watergate complex in Washington, D.C. on June 17, 1972. The Washington Post picked up on the story; reporters Carl Bernstein and Bob Woodward relied on an informant known as "Deep Throat"—later revealed to be Mark Felt, associate director at the FBI—to link the men to the Nixon administration. Nixon downplayed the scandal as mere politics, calling news articles biased and misleading. A series of revelations made it clear that the Committee to Re-elect President Nixon, and later the White House, were involved in attempts to sabotage the Democrats. Senior aides such as White House Counsel John Dean faced prosecution; in total 48 officials were convicted of wrongdoing.[119][219][220]
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In July 1973, White House aide Alexander Butterfield testified under oath to Congress that Nixon had a secret taping system and recorded his conversations and phone calls in the Oval Office. These tapes were subpoenaed by Watergate Special Counsel Archibald Cox; Nixon provided transcripts of the conversations but not the actual tapes, citing executive privilege. With the White House and Cox at loggerheads, Nixon had Cox fired in October in the "Saturday Night Massacre"; he was replaced by Leon Jaworski. In November, Nixon's lawyers revealed that a tape of conversations held in the White House on June 20, 1972, had an 18 1⁄2 minute gap.[220] Rose Mary Woods, the President's personal secretary, claimed responsibility for the gap, saying that she had accidentally wiped the section while transcribing the tape, but her story was widely mocked. The gap, while not conclusive proof of wrongdoing by the President, cast doubt on Nixon's statement that he had been unaware of the cover-up.[221]
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Though Nixon lost much popular support, even from his own party, he rejected accusations of wrongdoing and vowed to stay in office.[220] He admitted he had made mistakes but insisted he had no prior knowledge of the burglary, did not break any laws, and did not learn of the cover-up until early 1973.[222] On October 10, 1973, Vice President Agnew resigned for reasons unrelated to Watergate: he was convicted on charges of bribery, tax evasion and money laundering during his tenure as governor of Maryland. Believing his first choice, John Connally, would not be confirmed by Congress,[223] Nixon chose Gerald Ford, Minority Leader of the House of Representatives, to replace Agnew.[224] One researcher suggests Nixon effectively disengaged from his own administration after Ford was sworn in as vice president on December 6, 1973.[225]
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On November 17, 1973, during a televised question-and-answer session,[226] with 400 Associated Press managing editors Nixon said, "People have got to know whether or not their President is a crook. Well, I'm not a crook. I've earned everything I've got."[227]
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The legal battle over the tapes continued through early 1974, and in April Nixon announced the release of 1,200 pages of transcripts of White House conversations between himself and his aides. The House Judiciary Committee opened impeachment hearings against the President on May 9, 1974, which were televised on the major TV networks. These hearings culminated in votes for impeachment.[222] On July 24, the Supreme Court ruled unanimously that the full tapes, not just selected transcripts, must be released.[228]
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The scandal grew to involve a slew of additional allegations against the President, ranging from the improper use of government agencies to accepting gifts in office and his personal finances and taxes; Nixon repeatedly stated his willingness to pay any outstanding taxes due, and later paid $465,000 (equivalent to $2.4 million in 2019) in back taxes in 1974.[229]
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Even with support diminished by the continuing series of revelations, Nixon hoped to fight the charges. But one of the new tapes, recorded soon after the break-in, demonstrated that Nixon had been told of the White House connection to the Watergate burglaries soon after they took place, and had approved plans to thwart the investigation. In a statement accompanying the release of what became known as the "Smoking Gun Tape" on August 5, 1974, Nixon accepted blame for misleading the country about when he had been told of White House involvement, stating that he had had a lapse of memory.[230] Senate Minority Leader Hugh Scott, Senator Barry Goldwater, and House Minority Leader John Jacob Rhodes met with Nixon soon after. Rhodes told Nixon he faced certain impeachment in the House. Scott and Goldwater told the president that he had, at most, only 15 votes in his favor in the Senate, far fewer than the 34 needed to avoid removal from office.[231]
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In light of his loss of political support and the near-certainty that he would be impeached and removed from office, Nixon resigned the presidency on August 9, 1974, after addressing the nation on television the previous evening.[222] The resignation speech was delivered from the Oval Office and was carried live on radio and television. Nixon said he was resigning for the good of the country and asked the nation to support the new president, Gerald Ford. Nixon went on to review the accomplishments of his presidency, especially in foreign policy.[232] He defended his record as president, quoting from Theodore Roosevelt's 1910 speech Citizenship in a Republic:
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Sometimes I have succeeded and sometimes I have failed, but always I have taken heart from what Theodore Roosevelt once said about the man in the arena, "whose face is marred by dust and sweat and blood, who strives valiantly, who errs and comes up short again and again because there is not effort without error and shortcoming, but who does actually strive to do the deed, who knows the great enthusiasms, the great devotions, who spends himself in a worthy cause, who at the best knows in the end the triumphs of high achievements and who at the worst, if he fails, at least fails while daring greatly".[233]
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Nixon's speech received generally favorable initial responses from network commentators, with only Roger Mudd of CBS stating that Nixon had not admitted wrongdoing.[234] It was termed "a masterpiece" by Conrad Black, one of his biographers. Black opined that "What was intended to be an unprecedented humiliation for any American president, Nixon converted into a virtual parliamentary acknowledgement of almost blameless insufficiency of legislative support to continue. He left while devoting half his address to a recitation of his accomplishments in office."[235]
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Following his resignation, the Nixons flew to their home La Casa Pacifica in San Clemente, California.[236] According to his biographer, Jonathan Aitken, "Nixon was a soul in torment" after his resignation.[237] Congress had funded Nixon's transition costs, including some salary expenses, though reducing the appropriation from $850,000 to $200,000. With some of his staff still with him, Nixon was at his desk by 7:00 a.m.—with little to do.[237] His former press secretary, Ron Ziegler, sat with him alone for hours each day.[238]
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Nixon's resignation had not put an end to the desire among many to see him punished. The Ford White House considered a pardon of Nixon, even though it would be unpopular in the country. Nixon, contacted by Ford emissaries, was initially reluctant to accept the pardon, but then agreed to do so. Ford insisted on a statement of contrition, but Nixon felt he had not committed any crimes and should not have to issue such a document. Ford eventually agreed, and on September 8, 1974, he granted Nixon a "full, free, and absolute pardon", which ended any possibility of an indictment. Nixon then released a statement:
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I was wrong in not acting more decisively and more forthrightly in dealing with Watergate, particularly when it reached the stage of judicial proceedings and grew from a political scandal into a national tragedy. No words can describe the depth of my regret and pain at the anguish my mistakes over Watergate have caused the nation and the presidency, a nation I so deeply love, and an institution I so greatly respect.[239][240]
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In October 1974, Nixon fell ill with phlebitis. Told by his doctors that he could either be operated on or die, a reluctant Nixon chose surgery, and President Ford visited him in the hospital. Nixon was under subpoena for the trial of three of his former aides—Dean, Haldeman, and John Ehrlichman—and The Washington Post, disbelieving his illness, printed a cartoon showing Nixon with a cast on the "wrong foot". Judge John Sirica excused Nixon's presence despite the defendants' objections.[241] Congress instructed Ford to retain Nixon's presidential papers—beginning a three-decade legal battle over the documents that was eventually won by the former president and his estate.[242] Nixon was in the hospital when the 1974 midterm elections were held, and Watergate and the pardon were contributing factors to the Republican loss of 43 seats in the House and three in the Senate.[243]
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In December 1974, Nixon began planning his comeback despite the considerable ill will against him in the country. He wrote in his diary, referring to himself and Pat,
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So be it. We will see it through. We've had tough times before and we can take the tougher ones that we will have to go through now. That is perhaps what we were made for—to be able to take punishment beyond what anyone in this office has had before particularly after leaving office. This is a test of character and we must not fail the test.[244]
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By early 1975, Nixon's health was improving. He maintained an office in a Coast Guard station 300 yards from his home, at first taking a golf cart and later walking the route each day; he mainly worked on his memoirs.[245] He had hoped to wait before writing his memoirs; the fact that his assets were being eaten away by expenses and lawyer fees compelled him to begin work quickly.[246] He was handicapped in this work by the end of his transition allowance in February, which compelled him to part with many of his staff, including Ziegler.[247] In August of that year, he met with British talk-show host and producer David Frost, who paid him $600,000 (equivalent to $2.9 million in 2019) for a series of sit-down interviews, filmed and aired in 1977.[248] They began on the topic of foreign policy, recounting the leaders he had known, but the most remembered section of the interviews was that on Watergate. Nixon admitted he had "let down the country" and that "I brought myself down. I gave them a sword and they stuck it in. And they twisted it with relish. And, I guess, if I'd been in their position, I'd have done the same thing."[249] The interviews garnered 45–50 million viewers—becoming the most-watched program of its kind in television history.[250]
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The interviews helped improve Nixon's financial position—at one point in early 1975 he had only $500 in the bank—as did the sale of his Key Biscayne property to a trust set up by wealthy Nixon friends such as Bebe Rebozo.[251] In February 1976, Nixon visited China at the personal invitation of Mao. Nixon had wanted to return to China, but chose to wait until after Ford's own visit in 1975.[252] Nixon remained neutral in the close 1976 primary battle between Ford and Reagan. Ford won, but was defeated by Georgia Governor Jimmy Carter in the general election. The Carter administration had little use for Nixon and blocked his planned trip to Australia, causing the government of Prime Minister Malcolm Fraser to withhold its official invitation.[253]
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In 1976, Nixon was disbarred by the New York State Bar Association for obstruction of justice in the Watergate affair. Nixon chose not to present any defense.[254]
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In early 1978, Nixon went to the United Kingdom. He was shunned by American diplomats and by most ministers of the James Callaghan government. He was welcomed, however, by the Leader of the Opposition, Margaret Thatcher, as well as by former prime ministers Lord Home and Sir Harold Wilson. Two other former prime ministers, Harold Macmillan and Edward Heath, declined to meet him. Nixon addressed the Oxford Union regarding Watergate:
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Some people say I didn't handle it properly and they're right. I screwed it up. Mea culpa. But let's get on to my achievements. You'll be here in the year 2000 and we'll see how I'm regarded then.[255]
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In 1978, Nixon published his memoirs, RN: The Memoirs of Richard Nixon, the first of ten books he was to author in his retirement.[236] The book was a bestseller and attracted a generally positive critical response.[256] Nixon visited the White House in 1979, invited by Carter for the state dinner for Chinese Vice Premier Deng Xiaoping. Carter had not wanted to invite Nixon, but Deng had said he would visit Nixon in California if the former president was not invited. Nixon had a private meeting with Deng and visited Beijing again in mid-1979.[257]
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On August 10, 1979, the Nixons purchased a 12‐room condominium occupying the seventh floor of 817 Fifth Avenue New York City[258] after being rejected by two Manhattan co-ops.[259] When the deposed Shah of Iran died in Egypt in July 1980, Nixon defied the State Department, which intended to send no U.S. representative, by attending the funeral. Though Nixon had no official credentials, as a former president he was seen as the American presence at its former ally's funeral.[260] Nixon supported Ronald Reagan for president in 1980, making television appearances portraying himself as, in biographer Stephen Ambrose's words, "the senior statesman above the fray".[261] He wrote guest articles for many publications both during the campaign and after Reagan's victory.[262] After eighteen months in the New York City townhouse, Nixon and his wife moved in 1981 to Saddle River, New Jersey.[236]
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Throughout the 1980s, Nixon maintained an ambitious schedule of speaking engagements and writing,[236] traveled, and met with many foreign leaders, especially those of Third World countries. He joined former Presidents Ford and Carter as representatives of the United States at the funeral of Egyptian President Anwar Sadat.[236] On a trip to the Middle East, Nixon made his views known regarding Saudi Arabia and Libya, which attracted significant U.S. media attention; The Washington Post ran stories on Nixon's "rehabilitation".[263] Nixon visited the Soviet Union in 1986 and on his return sent President Reagan a lengthy memorandum containing foreign policy suggestions and his personal impressions of Mikhail Gorbachev.[236] Following this trip, Nixon was ranked in a Gallup poll as one of the ten most admired men in the world.[264]
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In 1986, Nixon addressed a convention of newspaper publishers, impressing his audience with his tour d'horizon of the world.[265] At the time, political pundit Elizabeth Drew wrote, "Even when he was wrong, Nixon still showed that he knew a great deal and had a capacious memory, as well as the capacity to speak with apparent authority, enough to impress people who had little regard for him in earlier times."[265] Newsweek ran a story on "Nixon's comeback" with the headline "He's back".[266]
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On July 19, 1990, the Richard Nixon Library and Birthplace in Yorba Linda, California opened as a private institution with the Nixons in attendance. They were joined by a large crowd of people, including Presidents Ford, Reagan, and George H. W. Bush, as well as their wives, Betty, Nancy, and Barbara.[267] In January 1994, the former president founded the Nixon Center (today the Center for the National Interest), a Washington policy think tank and conference center.[268][269]
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Pat Nixon died on June 22, 1993, of emphysema and lung cancer. Her funeral services were held on the grounds of the Richard Nixon Library and Birthplace. Former President Nixon was distraught throughout the interment and delivered a tribute to her inside the library building.[270]
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Nixon suffered a severe stroke on April 18, 1994, while preparing to eat dinner in his Park Ridge, New Jersey home.[271] A blood clot resulting from the atrial fibrillation he had suffered for many years had formed in his upper heart, broken off, and traveled to his brain.[272] He was taken to New York Hospital–Cornell Medical Center in Manhattan, initially alert but unable to speak or to move his right arm or leg.[271] Damage to the brain caused swelling (cerebral edema), and Nixon slipped into a deep coma. He died at 9:08 p.m. on April 22, 1994, with his daughters at his bedside. He was 81 years old.[271]
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Nixon's funeral took place on April 27, 1994, in Yorba Linda, California. Eulogists at the Nixon Library ceremony included President Bill Clinton, former Secretary of State Henry Kissinger, Senate Minority Leader Bob Dole, California Governor Pete Wilson, and the Reverend Billy Graham. Also in attendance were former Presidents Ford, Carter, Reagan, George H. W. Bush, and their wives.[273]
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Richard Nixon was buried beside his wife Pat on the grounds of the Nixon Library. He was survived by his two daughters, Tricia and Julie, and four grandchildren.[271] In keeping with his wishes, his funeral was not a full state funeral, though his body did lie in repose in the Nixon Library lobby from April 26 to the morning of the funeral service.[274] Mourners waited in line for up to eight hours in chilly, wet weather to pay their respects.[275] At its peak, the line to pass by Nixon's casket was three miles long with an estimated 42,000 people waiting.[276]
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John F. Stacks of Time magazine said of Nixon shortly after his death,
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An outsize energy and determination drove him on to recover and rebuild after every self-created disaster that he faced. To reclaim a respected place in American public life after his resignation, he kept traveling and thinking and talking to the world's leaders ... and by the time Bill Clinton came to the White House [in 1993], Nixon had virtually cemented his role as an elder statesman. Clinton, whose wife served on the staff of the committee that voted to impeach Nixon, met openly with him and regularly sought his advice.[277]
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Tom Wicker of The New York Times noted that Nixon had been equalled only by Franklin Roosevelt in being five times nominated on a major party ticket and, quoting Nixon's 1962 farewell speech, wrote,
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Richard Nixon's jowly, beard-shadowed face, the ski-jump nose and the widow's peak, the arms upstretched in the V-sign, had been so often pictured and caricatured, his presence had become such a familiar one in the land, he had been so often in the heat of controversy, that it was hard to realize the nation really would not "have Nixon to kick around anymore".[278]
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Ambrose said of the reaction to Nixon's death, "To everyone's amazement, except his, he's our beloved elder statesman."[279]
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Upon Nixon's death, almost all the news coverage mentioned Watergate, but for the most part, the coverage was favorable to the former president. The Dallas Morning News stated, "History ultimately should show that despite his flaws, he was one of our most farsighted chief executives."[280] This offended some; columnist Russell Baker complained of "a group conspiracy to grant him absolution".[281] Cartoonist Jeff Koterba of the Omaha World-Herald depicted History before a blank canvas, his subject Nixon, as America looks on eagerly. The artist urges his audience to sit down; the work will take some time to complete, as "this portrait is a little more complicated than most".[282]
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Hunter S. Thompson wrote a scathing piece denouncing Nixon for Rolling Stone, entitled "He Was a Crook" (which also appeared a month later in The Atlantic).[283] In his article, Thompson described Nixon as "a political monster straight out of Grendel and a very dangerous enemy."[283]
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Historian and political scientist James MacGregor Burns asked of Nixon, "How can one evaluate such an idiosyncratic president, so brilliant and so morally lacking?"[284] Nixon's biographers disagree on how he will be perceived by posterity. According to Ambrose, "Nixon wanted to be judged by what he accomplished. What he will be remembered for is the nightmare he put the country through in his second term and for his resignation."[285] Irwin Gellman, who chronicled Nixon's Congressional career, suggests, "He was remarkable among his congressional peers, a success story in a troubled era, one who steered a sensible anti-Communist course against the excess of McCarthy."[286] Aitken feels that "Nixon, both as a man and as a statesman, has been excessively maligned for his faults and inadequately recognised for his virtues. Yet even in a spirit of historical revisionism, no simple verdict is possible."[287]
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Some historians say Nixon's Southern Strategy turned the Southern United States into a Republican stronghold, while others deem economic factors more important in the change.[209] Throughout his career, Nixon moved his party away from the control of isolationists, and as a Congressman he was a persuasive advocate of containing Soviet communism.[288] According to his biographer Herbert Parmet, "Nixon's role was to steer the Republican party along a middle course, somewhere between the competitive impulses of the Rockefellers, the Goldwaters, and the Reagans."[289]
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Nixon's stance on domestic affairs has been credited with the passage and enforcement of environmental and regulatory legislation. In a 2011 paper on Nixon and the environment, historian Paul Charles Milazzo points to Nixon's creation of the United States Environmental Protection Agency (EPA), and to his enforcement of legislation such as the 1973 Endangered Species Act, stating that "though unsought and unacknowledged, Richard Nixon's environmental legacy is secure".[290] Nixon himself did not consider the environmental advances he made in office an important part of his legacy; some historians contend that his choices were driven more by political expediency than any strong environmentalism.[185]
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Nixon saw his policies on Vietnam, China, and the Soviet Union as central to his place in history.[170] Nixon's onetime opponent George McGovern commented in 1983, "President Nixon probably had a more practical approach to the two superpowers, China and the Soviet Union, than any other president since World War II [...] With the exception of his inexcusable continuation of the war in Vietnam, Nixon really will get high marks in history."[291] Political scientist Jussi Hanhimäki disagrees, saying that Nixon's diplomacy was merely a continuation of the Cold War policy of containment by diplomatic, rather than military means.[170] Historian Christopher Andrew concludes that "Nixon was a great statesman on the world stage as well as a shabby practitioner of electoral politics in the domestic arena. While the criminal farce of Watergate was in the making, Nixon's inspirational statesmanship was establishing new working relationships both with Communist China and with the Soviet Union."[292]
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Historian Keith W. Olson has written that Nixon left a legacy of fundamental mistrust of government, rooted in Vietnam and Watergate.[293] In surveys of historians and political scientists, Nixon is generally ranked as a below average president.[294][295][296] During the impeachment of Bill Clinton in 1998, both sides tried to use Nixon and Watergate to their advantage: Republicans suggested that Clinton's misconduct was comparable to Nixon's, while Democrats contended that Nixon's actions had been far more serious than Clinton's.[297] Another legacy, for a time, was a decrease in the power of the presidency as Congress passed restrictive legislation in the wake of Watergate. Olson suggests that legislation in the aftermath of the September 11 attacks restored the president's power.[293]
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Nixon's career was frequently dogged by his persona and the public's perception of it. Editorial cartoonists and comedians often exaggerated his appearance and mannerisms, to the point where the line between the human and the caricature became increasingly blurred. He was often portrayed with unshaven jowls, slumped shoulders, and a furrowed, sweaty brow.[298]
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Nixon had a complex personality, both very secretive and awkward, yet strikingly reflective about himself. He was inclined to distance himself from people and was formal in all aspects, wearing a coat and tie even when home alone.[299] Nixon biographer Conrad Black described him as being "driven" though also "uneasy with himself in some ways".[300] According to Black, Nixon
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thought that he was doomed to be traduced, double-crossed, unjustly harassed, misunderstood, underappreciated, and subjected to the trials of Job, but that by the application of his mighty will, tenacity, and diligence, he would ultimately prevail.[301]
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Nixon sometimes drank to excess, especially during 1970 when things were not going well for him. He also had trouble battling insomnia, for which he was prescribed sleeping pills. According to Ray Price, he sometimes took them in together. Nixon also took dilantin, recommended by Jack Dreyfus. That medicine is usually prescribed for anti-seizure attacks, but in Nixon's case it was to battle depression. His periodic overindulgences, especially during stressful times such as during Apollo 13, concerned Price and others, including then-advisor Ehrlichman and long-time valet Manolo Sanchez.[302] Author and former British politician David Owen deemed Nixon an alcoholic.[303][304]
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Biographer Elizabeth Drew summarized Nixon as a "smart, talented man, but most peculiar and haunted of presidents".[305] In his account of the Nixon presidency, author Richard Reeves described Nixon as "a strange man of uncomfortable shyness, who functioned best alone with his thoughts".[306] Nixon's presidency was doomed by his personality, Reeves argues:
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He assumed the worst in people and he brought out the worst in them ... He clung to the idea of being "tough". He thought that was what had brought him to the edge of greatness. But that was what betrayed him. He could not open himself to other men and he could not open himself to greatness.[307]
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Nixon believed that putting distance between himself and other people was necessary for him as he advanced in his political career and became president. Even Bebe Rebozo, by some accounts his closest friend, did not call him by his first name. Nixon said of this,
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Even with close friends, I don't believe in letting your hair down, confiding this and that and the other thing—saying, "Gee, I couldn't sleep ..." I believe you should keep your troubles to yourself. That's just the way I am. Some people are different. Some people think it's good therapy to sit with a close friend and, you know, just spill your guts ... [and] reveal their inner psyche—whether they were breast-fed or bottle-fed. Not me. No way.[308]
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When Nixon was told that most Americans felt they did not know him even at the end of his career, he replied, "Yeah, it's true. And it's not necessary for them to know."[308]
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Wilhelm Richard Wagner (/ˈvɑːɡnər/ VAHG-nər, German: [ˈʁɪçaʁt ˈvaːɡnɐ] (listen);[1] 22 May 1813 – 13 February 1883) was a German composer, theatre director, polemicist, and conductor who is chiefly known for his operas (or, as some of his mature works were later known, "music dramas"). Unlike most opera composers, Wagner wrote both the libretto and the music for each of his stage works. Initially establishing his reputation as a composer of works in the romantic vein of Carl Maria von Weber and Giacomo Meyerbeer, Wagner revolutionised opera through his concept of the Gesamtkunstwerk ("total work of art"), by which he sought to synthesise the poetic, visual, musical and dramatic arts, with music subsidiary to drama. He described this vision in a series of essays published between 1849 and 1852. Wagner realised these ideas most fully in the first half of the four-opera cycle Der Ring des Nibelungen (The Ring of the Nibelung).
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His compositions, particularly those of his later period, are notable for their complex textures, rich harmonies and orchestration, and the elaborate use of leitmotifs—musical phrases associated with individual characters, places, ideas, or plot elements. His advances in musical language, such as extreme chromaticism and quickly shifting tonal centres, greatly influenced the development of classical music. His Tristan und Isolde is sometimes described as marking the start of modern music.
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Wagner had his own opera house built, the Bayreuth Festspielhaus, which embodied many novel design features. The Ring and Parsifal were premiered here and his most important stage works continue to be performed at the annual Bayreuth Festival, run by his descendants. His thoughts on the relative contributions of music and drama in opera were to change again, and he reintroduced some traditional forms into his last few stage works, including Die Meistersinger von Nürnberg (The Mastersingers of Nuremberg).
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Until his final years, Wagner's life was characterised by political exile, turbulent love affairs, poverty and repeated flight from his creditors. His controversial writings on music, drama and politics have attracted extensive comment, notably, since the late 20th century, where they express antisemitic sentiments. The effect of his ideas can be traced in many of the arts throughout the 20th century; his influence spread beyond composition into conducting, philosophy, literature, the visual arts and theatre.
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Richard Wagner was born to an ethnic German family in Leipzig, who lived at No 3, the Brühl (The House of the Red and White Lions) in the Jewish quarter.[n 1]He was baptized at St. Thomas Church. He was the ninth child of Carl Friedrich Wagner, who was a clerk in the Leipzig police service, and his wife, Johanna Rosine (née Paetz), the daughter of a baker.[2][n 2] Wagner's father Carl died of typhus six months after Richard's birth. Afterwards, his mother Johanna lived with Carl's friend, the actor and playwright Ludwig Geyer.[4] In August 1814 Johanna and Geyer probably married—although no documentation of this has been found in the Leipzig church registers.[5] She and her family moved to Geyer's residence in Dresden. Until he was fourteen, Wagner was known as Wilhelm Richard Geyer. He almost certainly thought that Geyer was his biological father.[6]
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Geyer's love of the theatre came to be shared by his stepson, and Wagner took part in his performances. In his autobiography Mein Leben Wagner recalled once playing the part of an angel.[7] In late 1820, Wagner was enrolled at Pastor Wetzel's school at Possendorf, near Dresden, where he received some piano instruction from his Latin teacher.[8] He struggled to play a proper scale at the keyboard and preferred playing theatre overtures by ear. Following Geyer's death in 1821, Richard was sent to the Kreuzschule, the boarding school of the Dresdner Kreuzchor, at the expense of Geyer's brother.[9] At the age of nine he was hugely impressed by the Gothic elements of Carl Maria von Weber's opera Der Freischütz, which he saw Weber conduct.[10] At this period Wagner entertained ambitions as a playwright. His first creative effort, listed in the Wagner-Werk-Verzeichnis (the standard listing of Wagner's works) as WWV 1, was a tragedy called Leubald. Begun when he was in school in 1826, the play was strongly influenced by Shakespeare and Goethe. Wagner was determined to set it to music and persuaded his family to allow him music lessons.[11][n 3]
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By 1827, the family had returned to Leipzig. Wagner's first lessons in harmony were taken during 1828–31 with Christian Gottlieb Müller.[12] In January 1828 he first heard Beethoven's 7th Symphony and then, in March, the same composer's 9th Symphony (both at the Gewandhaus). Beethoven became a major inspiration, and Wagner wrote a piano transcription of the 9th Symphony.[13] He was also greatly impressed by a performance of Mozart's Requiem.[14] Wagner's early piano sonatas and his first attempts at orchestral overtures date from this period.[15]
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In 1829 he saw a performance by dramatic soprano Wilhelmine Schröder-Devrient, and she became his ideal of the fusion of drama and music in opera. In Mein Leben, Wagner wrote, "When I look back across my entire life I find no event to place beside this in the impression it produced on me," and claimed that the "profoundly human and ecstatic performance of this incomparable artist" kindled in him an "almost demonic fire."[16][n 4]
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In 1831, Wagner enrolled at the Leipzig University, where he became a member of the Saxon student fraternity.[18] He took composition lessons with the Thomaskantor Theodor Weinlig.[19] Weinlig was so impressed with Wagner's musical ability that he refused any payment for his lessons. He arranged for his pupil's Piano Sonata in B-flat major (which was consequently dedicated to him) to be published as Wagner's Op. 1. A year later, Wagner composed his Symphony in C major, a Beethovenesque work performed in Prague in 1832[20] and at the Leipzig Gewandhaus in 1833.[21] He then began to work on an opera, Die Hochzeit (The Wedding), which he never completed.[22]
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In 1833, Wagner's brother Albert managed to obtain for him a position as choirmaster at the theatre in Würzburg.[23] In the same year, at the age of 20, Wagner composed his first complete opera, Die Feen (The Fairies). This work, which imitated the style of Weber, went unproduced until half a century later, when it was premiered in Munich shortly after the composer's death in 1883.[24]
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Having returned to Leipzig in 1834, Wagner held a brief appointment as musical director at the opera house in Magdeburg[25] during which he wrote Das Liebesverbot (The Ban on Love), based on Shakespeare's Measure for Measure. This was staged at Magdeburg in 1836 but closed before the second performance; this, together with the financial collapse of the theatre company employing him, left the composer in bankruptcy.[26][27] Wagner had fallen for one of the leading ladies at Magdeburg, the actress Christine Wilhelmine "Minna" Planer[28] and after the disaster of Das Liebesverbot he followed her to Königsberg, where she helped him to get an engagement at the theatre.[29] The two married in Tragheim Church on 24 November 1836.[30] In May 1837, Minna left Wagner for another man,[31] and this was but only the first débâcle of a tempestuous marriage. In June 1837, Wagner moved to Riga (then in the Russian Empire), where he became music director of the local opera;[32] having in this capacity engaged Minna's sister Amalie (also a singer) for the theatre, he presently resumed relations with Minna during 1838.[33]
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By 1839, the couple had amassed such large debts that they fled Riga on the run from creditors.[34] Debts would plague Wagner for most of his life.[35] Initially they took a stormy sea passage to London,[36] from which Wagner drew the inspiration for his opera Der fliegende Holländer (The Flying Dutchman), with a plot based on a sketch by Heinrich Heine.[37] The Wagners settled in Paris in September 1839[28] and stayed there until 1842. Wagner made a scant living by writing articles and short novelettes such as A pilgrimage to Beethoven, which sketched his growing concept of "music drama", and An end in Paris, where he depicts his own miseries as a German musician in the French metropolis.[38] He also provided arrangements of operas by other composers, largely on behalf of the Schlesinger publishing house. During this stay he completed his third and fourth operas Rienzi and Der fliegende Holländer.[38]
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Wagner had completed Rienzi in 1840. With the strong support of Giacomo Meyerbeer,[39] it was accepted for performance by the Dresden Court Theatre (Hofoper) in the Kingdom of Saxony and in 1842, Wagner moved to Dresden. His relief at returning to Germany was recorded in his "Autobiographic Sketch" of 1842, where he wrote that, en route from Paris, "For the first time I saw the Rhine—with hot tears in my eyes, I, poor artist, swore eternal fidelity to my German fatherland."[40] Rienzi was staged to considerable acclaim on 20 October.[41]
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Wagner lived in Dresden for the next six years, eventually being appointed the Royal Saxon Court Conductor.[42] During this period, he staged there Der fliegende Holländer (2 January 1843)[43] and Tannhäuser (19 October 1845),[44] the first two of his three middle-period operas. Wagner also mixed with artistic circles in Dresden, including the composer Ferdinand Hiller and the architect Gottfried Semper.[45][46]
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Wagner's involvement in left-wing politics abruptly ended his welcome in Dresden. Wagner was active among socialist German nationalists there, regularly receiving such guests as the conductor and radical editor August Röckel and the Russian anarchist Mikhail Bakunin.[47] He was also influenced by the ideas of Pierre-Joseph Proudhon and Ludwig Feuerbach.[48] Widespread discontent came to a head in 1849, when the unsuccessful May Uprising in Dresden broke out, in which Wagner played a minor supporting role. Warrants were issued for the revolutionaries' arrest. Wagner had to flee, first visiting Paris and then settling in Zürich[49][n 5] where he at first took refuge with a friend, Alexander Müller.[50]
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Wagner was to spend the next twelve years in exile from Germany. He had completed Lohengrin, the last of his middle-period operas, before the Dresden uprising, and now wrote desperately to his friend Franz Liszt to have it staged in his absence. Liszt conducted the premiere in Weimar in August 1850.[51]
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Nevertheless, Wagner was in grim personal straits, isolated from the German musical world and without any regular income. In 1850, Julie, the wife of his friend Karl Ritter, began to pay him a small pension which she maintained until 1859. With help from her friend Jessie Laussot, this was to have been augmented to an annual sum of 3,000 Thalers per year; but this plan was abandoned when Wagner began an affair with Mme. Laussot. Wagner even planned an elopement with her in 1850, which her husband prevented.[52] Meanwhile, Wagner's wife Minna, who had disliked the operas he had written after Rienzi, was falling into a deepening depression. Wagner fell victim to ill-health, according to Ernest Newman "largely a matter of overwrought nerves", which made it difficult for him to continue writing.[53][n 6]
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Wagner's primary published output during his first years in Zürich was a set of essays. In "The Artwork of the Future" (1849), he described a vision of opera as Gesamtkunstwerk ("total work of art"), in which the various arts such as music, song, dance, poetry, visual arts and stagecraft were unified. "Judaism in Music" (1850)[55] was the first of Wagner's writings to feature antisemitic views.[56] In this polemic Wagner argued, frequently using traditional antisemitic abuse, that Jews had no connection to the German spirit, and were thus capable of producing only shallow and artificial music. According to him, they composed music to achieve popularity and, thereby, financial success, as opposed to creating genuine works of art.[57]
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In "Opera and Drama" (1851), Wagner described the aesthetics of drama that he was using to create the Ring operas. Before leaving Dresden, Wagner had drafted a scenario that eventually became the four-opera cycle Der Ring des Nibelungen. He initially wrote the libretto for a single opera, Siegfrieds Tod (Siegfried's Death), in 1848. After arriving in Zürich, he expanded the story with the opera Der junge Siegfried (Young Siegfried), which explored the hero's background. He completed the text of the cycle by writing the libretti for Die Walküre (The Valkyrie) and Das Rheingold (The Rhine Gold) and revising the other libretti to agree with his new concept, completing them in 1852.[58] The concept of opera expressed in "Opera and Drama" and in other essays effectively renounced the operas he had previously written, up to and including Lohengrin. Partly in an attempt to explain his change of views, Wagner published in 1851 the autobiographical "A Communication to My Friends".[59] This contained his first public announcement of what was to become the Ring cycle:
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I shall never write an Opera more. As I have no wish to invent an arbitrary title for my works, I will call them Dramas ...
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I propose to produce my myth in three complete dramas, preceded by a lengthy Prelude (Vorspiel). ...
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At a specially-appointed Festival, I propose, some future time, to produce those three Dramas with their Prelude, in the course of three days and a fore-evening [emphasis in original].[60]
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Wagner began composing the music for Das Rheingold between November 1853 and September 1854, following it immediately with Die Walküre (written between June 1854 and March 1856).[61] He began work on the third Ring opera, which he now called simply Siegfried, probably in September 1856, but by June 1857 he had completed only the first two acts. He decided to put the work aside to concentrate on a new idea: Tristan und Isolde,[62] based on the Arthurian love story Tristan and Iseult.
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One source of inspiration for Tristan und Isolde was the philosophy of Arthur Schopenhauer, notably his The World as Will and Representation, to which Wagner had been introduced in 1854 by his poet friend Georg Herwegh. Wagner later called this the most important event of his life.[63] His personal circumstances certainly made him an easy convert to what he understood to be Schopenhauer's philosophy, a deeply pessimistic view of the human condition. He remained an adherent of Schopenhauer for the rest of his life.[64]
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One of Schopenhauer's doctrines was that music held a supreme role in the arts as a direct expression of the world's essence, namely, blind, impulsive will.[65] This doctrine contradicted Wagner's view, expressed in "Opera and Drama", that the music in opera had to be subservient to the drama. Wagner scholars have argued that Schopenhauer's influence caused Wagner to assign a more commanding role to music in his later operas, including the latter half of the Ring cycle, which he had yet to compose.[66][n 7] Aspects of Schopenhauerian doctrine found their way into Wagner's subsequent libretti.[n 8]
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A second source of inspiration was Wagner's infatuation with the poet-writer Mathilde Wesendonck, the wife of the silk merchant Otto Wesendonck. Wagner met the Wesendoncks, who were both great admirers of his music, in Zürich in 1852. From May 1853 onwards Wesendonck made several loans to Wagner to finance his household expenses in Zürich,[69] and in 1857 placed a cottage on his estate at Wagner's disposal,[70] which became known as the Asyl ("asylum" or "place of rest"). During this period, Wagner's growing passion for his patron's wife inspired him to put aside work on the Ring cycle (which was not resumed for the next twelve years) and begin work on Tristan.[71] While planning the opera, Wagner composed the Wesendonck Lieder, five songs for voice and piano, setting poems by Mathilde. Two of these settings are explicitly subtitled by Wagner as "studies for Tristan und Isolde".[72]
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Amongst the conducting engagements that Wagner undertook for revenue during this period, he gave several concerts in 1855 with the Philharmonic Society of London, including one before Queen Victoria.[73] The Queen enjoyed his Tannhäuser overture and spoke with Wagner after the concert, writing of him in her diary that he was "short, very quiet, wears spectacles & has a very finely-developed forehead, a hooked nose & projecting chin."[74]
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Wagner's uneasy affair with Mathilde collapsed in 1858, when Minna intercepted a letter to Mathilde from him.[75] After the resulting confrontation with Minna, Wagner left Zürich alone, bound for Venice, where he rented an apartment in the Palazzo Giustinian, while Minna returned to Germany.[76] Wagner's attitude to Minna had changed; the editor of his correspondence with her, John Burk, has said that she was to him "an invalid, to be treated with kindness and consideration, but, except at a distance, [was] a menace to his peace of mind."[77] Wagner continued his correspondence with Mathilde and his friendship with her husband Otto, who maintained his financial support of the composer. In an 1859 letter to Mathilde, Wagner wrote, half-satirically, of Tristan: "Child! This Tristan is turning into something terrible. This final act!!!—I fear the opera will be banned ... only mediocre performances can save me! Perfectly good ones will be bound to drive people mad."[78]
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In November 1859, Wagner once again moved to Paris to oversee production of a new revision of Tannhäuser, staged thanks to the efforts of Princess Pauline von Metternich, whose husband was the Austrian ambassador in Paris. The performances of the Paris Tannhäuser in 1861 were a notable fiasco. This was partly a consequence of the conservative tastes of the Jockey Club, which organised demonstrations in the theatre to protest at the presentation of the ballet feature in act 1 (instead of its traditional location in the second act); but the opportunity was also exploited by those who wanted to use the occasion as a veiled political protest against the pro-Austrian policies of Napoleon III.[79] It was during this visit that Wagner met the French poet Charles Baudelaire, who wrote an appreciative brochure, "Richard Wagner et Tannhäuser à Paris".[80] The opera was withdrawn after the third performance and Wagner left Paris soon after.[81] He had sought a reconciliation with Minna during this Paris visit, and although she joined him there, the reunion was not successful and they again parted from each other when Wagner left.[82]
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The political ban that had been placed on Wagner in Germany after he had fled Dresden was fully lifted in 1862. The composer settled in Biebrich, on the Rhine near Wiesbaden in Hesse.[83] Here Minna visited him for the last time: they parted irrevocably,[84] though Wagner continued to give financial support to her while she lived in Dresden until her death in 1866.[85]
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In Biebrich, Wagner at last began work on Die Meistersinger von Nürnberg, his only mature comedy. Wagner wrote a first draft of the libretto in 1845,[86] and he had resolved to develop it during a visit he had made to Venice with the Wesendoncks in 1860, where he was inspired by Titian's painting The Assumption of the Virgin.[87] Throughout this period (1861–64) Wagner sought to have Tristan und Isolde produced in Vienna.[88] Despite numerous rehearsals, the opera remained unperformed, and gained a reputation as being "impossible" to sing, which added to Wagner's financial problems.[89]
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Wagner's fortunes took a dramatic upturn in 1864, when King Ludwig II succeeded to the throne of Bavaria at the age of 18. The young king, an ardent admirer of Wagner's operas, had the composer brought to Munich.[90] The King, who was homosexual, expressed in his correspondence a passionate personal adoration for the composer,[n 9] and Wagner in his responses had no scruples about counterfeiting a similar atmosphere.[92][n 10] Ludwig settled Wagner's considerable debts,[94] and proposed to stage Tristan, Die Meistersinger, the Ring, and the other operas Wagner planned.[95] Wagner also began to dictate his autobiography, Mein Leben, at the King's request.[96] Wagner noted that his rescue by Ludwig coincided with news of the death of his earlier mentor (but later supposed enemy) Giacomo Meyerbeer, and regretted that "this operatic master, who had done me so much harm, should not have lived to see this day."[97]
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After grave difficulties in rehearsal, Tristan und Isolde premiered at the National Theatre Munich on 10 June 1865, the first Wagner opera premiere in almost 15 years. (The premiere had been scheduled for 15 May, but was delayed by bailiffs acting for Wagner's creditors,[98] and also because the Isolde, Malvina Schnorr von Carolsfeld, was hoarse and needed time to recover.) The conductor of this premiere was Hans von Bülow, whose wife, Cosima, had given birth in April that year to a daughter, named Isolde, a child not of Bülow but of Wagner.[99]
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Cosima was 24 years younger than Wagner and was herself illegitimate, the daughter of the Countess Marie d'Agoult, who had left her husband for Franz Liszt.[100] Liszt initially disapproved of his daughter's involvement with Wagner, though nevertheless, the two men were friends.[101] The indiscreet affair scandalised Munich, and Wagner also fell into disfavour with many leading members of the court, who were suspicious of his influence on the King.[102] In December 1865, Ludwig was finally forced to ask the composer to leave Munich.[103] He apparently also toyed with the idea of abdicating to follow his hero into exile, but Wagner quickly dissuaded him.[104]
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Ludwig installed Wagner at the Villa Tribschen, beside Switzerland's Lake Lucerne.[105] Die Meistersinger was completed at Tribschen in 1867, and premiered in Munich on 21 June the following year.[86] At Ludwig's insistence, "special previews" of the first two works of the Ring, Das Rheingold and Die Walküre, were performed at Munich in 1869 and 1870,[106] but Wagner retained his dream, first expressed in "A Communication to My Friends", to present the first complete cycle at a special festival with a new, dedicated, opera house.[107]
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Minna had died of a heart attack on 25 January 1866 in Dresden. Wagner did not attend the funeral.[108][n 11] Following Minna's death Cosima wrote to Hans von Bülow on a number of occasions asking him to grant her a divorce, but Bülow refused to concede this. He only consented after she had two more children with Wagner; another daughter, named Eva, after the heroine of Meistersinger, and a son Siegfried, named for the hero of the Ring. The divorce was finally sanctioned, after delays in the legal process, by a Berlin court on 18 July 1870.[110] Richard and Cosima's wedding took place on 25 August 1870.[111] On Christmas Day of that year, Wagner arranged a surprise performance (its premiere) of the Siegfried Idyll for Cosima's birthday.[112][n 12] The marriage to Cosima lasted to the end of Wagner's life.
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Wagner, settled into his new-found domesticity, turned his energies towards completing the Ring cycle. He had not abandoned polemics: he republished his 1850 pamphlet "Judaism in Music", originally issued under a pseudonym, under his own name in 1869. He extended the introduction, and wrote a lengthy additional final section. The publication led to several public protests at early performances of Die Meistersinger in Vienna and Mannheim.[113]
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In 1871, Wagner decided to move to Bayreuth, which was to be the location of his new opera house.[114] The town council donated a large plot of land—the "Green Hill"—as a site for the theatre. The Wagners moved to the town the following year, and the foundation stone for the Bayreuth Festspielhaus ("Festival Theatre") was laid. Wagner initially announced the first Bayreuth Festival, at which for the first time the Ring cycle would be presented complete, for 1873,[115] but since Ludwig had declined to finance the project, the start of building was delayed and the proposed date for the festival was deferred. To raise funds for the construction, "Wagner societies" were formed in several cities,[116] and Wagner began touring Germany conducting concerts.[117] By the spring of 1873, only a third of the required funds had been raised; further pleas to Ludwig were initially ignored, but early in 1874, with the project on the verge of collapse, the King relented and provided a loan.[118][n 13] The full building programme included the family home, "Wahnfried", into which Wagner, with Cosima and the children, moved from their temporary accommodation on 18 April 1874.[120] The theatre was completed in 1875, and the festival scheduled for the following year. Commenting on the struggle to finish the building, Wagner remarked to Cosima: "Each stone is red with my blood and yours".[121]
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For the design of the Festspielhaus, Wagner appropriated some of the ideas of his former colleague, Gottfried Semper, which he had previously solicited for a proposed new opera house at Munich.[115] Wagner was responsible for several theatrical innovations at Bayreuth; these include darkening the auditorium during performances, and placing the orchestra in a pit out of view of the audience.[122]
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The Festspielhaus finally opened on 13 August 1876 with Das Rheingold, at last taking its place as the first evening of the complete Ring cycle; the 1876 Bayreuth Festival therefore saw the premiere of the complete cycle, performed as a sequence as the composer had intended.[123] The 1876 Festival consisted of three full Ring cycles (under the baton of Hans Richter).[124] At the end, critical reactions ranged between that of the Norwegian composer Edvard Grieg, who thought the work "divinely composed", and that of the French newspaper Le Figaro, which called the music "the dream of a lunatic".[125] Amongst the disillusioned were Wagner's friend and disciple Friedrich Nietzsche, who, having published his eulogistic essay "Richard Wagner in Bayreuth" before the festival as part of his Untimely Meditations, was bitterly disappointed by what he saw as Wagner's pandering to increasingly exclusivist German nationalism; his breach with Wagner began at this time.[126] The festival firmly established Wagner as an artist of European, and indeed world, importance: attendees included Kaiser Wilhelm I, the Emperor Pedro II of Brazil, Anton Bruckner, Camille Saint-Saëns and Pyotr Ilyich Tchaikovsky.[127]
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Wagner was far from satisfied with the Festival; Cosima recorded that months later, his attitude towards the productions was "Never again, never again!"[128] Moreover, the festival finished with a deficit of about 150,000 marks.[129] The expenses of Bayreuth and of Wahnfried meant that Wagner still sought additional sources of income by conducting or taking on commissions such as the Centennial March for America, for which he received $5000.[130]
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Following the first Bayreuth Festival, Wagner began work on Parsifal, his final opera. The composition took four years, much of which Wagner spent in Italy for health reasons.[131] From 1876 to 1878 Wagner also embarked on the last of his documented emotional liaisons, this time with Judith Gautier, whom he had met at the 1876 Festival.[132] Wagner was also much troubled by problems of financing Parsifal, and by the prospect of the work being performed by other theatres than Bayreuth. He was once again assisted by the liberality of King Ludwig, but was still forced by his personal financial situation in 1877 to sell the rights of several of his unpublished works (including the Siegfried Idyll) to the publisher Schott.[133]
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Wagner wrote a number of articles in his later years, often on political topics, and often reactionary in tone, repudiating some of his earlier, more liberal, views. These include "Religion and Art" (1880) and "Heroism and Christianity" (1881), which were printed in the journal Bayreuther Blätter, published by his supporter Hans von Wolzogen.[134] Wagner's sudden interest in Christianity at this period, which infuses Parsifal, was contemporary with his increasing alignment with German nationalism, and required on his part, and the part of his associates, "the rewriting of some recent Wagnerian history", so as to represent, for example, the Ring as a work reflecting Christian ideals.[135] Many of these later articles, including "What is German?" (1878, but based on a draft written in the 1860s),[136] repeated Wagner's antisemitic preoccupations.
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Wagner completed Parsifal in January 1882, and a second Bayreuth Festival was held for the new opera, which premiered on 26 May.[137] Wagner was by this time extremely ill, having suffered a series of increasingly severe angina attacks.[138] During the sixteenth and final performance of Parsifal on 29 August, he entered the pit unseen during act 3, took the baton from conductor Hermann Levi, and led the performance to its conclusion.[139]
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After the festival, the Wagner family journeyed to Venice for the winter. Wagner died of a heart attack at the age of 69 on 13 February 1883 at Ca' Vendramin Calergi, a 16th-century palazzo on the Grand Canal.[140] The legend that the attack was prompted by argument with Cosima over Wagner's supposedly amorous interest in the singer Carrie Pringle, who had been a Flower-maiden in Parsifal at Bayreuth, is without credible evidence.[141] After a funerary gondola bore Wagner's remains over the Grand Canal, his body was taken to Germany where it was buried in the garden of the Villa Wahnfried in Bayreuth.[142]
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Wagner's musical output is listed by the Wagner-Werk-Verzeichnis (WWV) as comprising 113 works, including fragments and projects.[143] The first complete scholarly edition of his musical works in print was commenced in 1970 under the aegis of the Bavarian Academy of Fine Arts and the Akademie der Wissenschaften und der Literatur of Mainz, and is presently under the editorship of Egon Voss. It will consist of 21 volumes (57 books) of music and 10 volumes (13 books) of relevant documents and texts. As at October 2017, three volumes remain to be published. The publisher is Schott Music.[144]
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Wagner's operatic works are his primary artistic legacy. Unlike most opera composers, who generally left the task of writing the libretto (the text and lyrics) to others, Wagner wrote his own libretti, which he referred to as "poems".[145]
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From 1849 onwards, he urged a new concept of opera often referred to as "music drama" (although he later rejected this term),[146][n 14] in which all musical, poetic and dramatic elements were to be fused together—the Gesamtkunstwerk. Wagner developed a compositional style in which the importance of the orchestra is equal to that of the singers. The orchestra's dramatic role in the later operas includes the use of leitmotifs, musical phrases that can be interpreted as announcing specific characters, locales, and plot elements; their complex interweaving and evolution illuminates the progression of the drama.[148] These operas are still, despite Wagner's reservations, referred to by many writers[149] as "music dramas".[150]
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Wagner's earliest attempts at opera were often uncompleted. Abandoned works include a pastoral opera based on Goethe's Die Laune des Verliebten (The Infatuated Lover's Caprice), written at the age of 17,[22] Die Hochzeit (The Wedding), on which Wagner worked in 1832,[22] and the singspiel Männerlist größer als Frauenlist (Men are More Cunning than Women, 1837–38). Die Feen (The Fairies, 1833) was not performed in the composer's lifetime[24] and Das Liebesverbot (The Ban on Love, 1836) was withdrawn after its first performance.[26] Rienzi (1842) was Wagner's first opera to be successfully staged.[151] The compositional style of these early works was conventional—the relatively more sophisticated Rienzi showing the clear influence of Grand Opera à la Spontini and Meyerbeer—and did not exhibit the innovations that would mark Wagner's place in musical history. Later in life, Wagner said that he did not consider these works to be part of his oeuvre;[152] and they have been performed only rarely in the last hundred years, although the overture to Rienzi is an occasional concert-hall piece. Die Feen, Das Liebesverbot, and Rienzi were performed at both Leipzig and Bayreuth in 2013 to mark the composer's bicentenary.[153]
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Wagner's middle stage output began with Der fliegende Holländer (The Flying Dutchman, 1843), followed by Tannhäuser (1845) and Lohengrin (1850). These three operas are sometimes referred to as Wagner's "romantic operas".[154] They reinforced the reputation, among the public in Germany and beyond, that Wagner had begun to establish with Rienzi. Although distancing himself from the style of these operas from 1849 onwards, he nevertheless reworked both Der fliegende Holländer and Tannhäuser on several occasions.[n 15] These three operas are considered to represent a significant developmental stage in Wagner's musical and operatic maturity as regards thematic handling, portrayal of emotions and orchestration.[156] They are the earliest works included in the Bayreuth canon, the mature operas that Cosima staged at the Bayreuth Festival after Wagner's death in accordance with his wishes.[157] All three (including the differing versions of Der fliegende Holländer and Tannhäuser) continue to be regularly performed throughout the world, and have been frequently recorded.[n 16] They were also the operas by which his fame spread during his lifetime.[n 17]
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Wagner's late dramas are considered his masterpieces. Der Ring des Nibelungen, commonly referred to as the Ring or "Ring cycle", is a set of four operas based loosely on figures and elements of Germanic mythology—particularly from the later Norse mythology—notably the Old Norse Poetic Edda and Volsunga Saga, and the Middle High German Nibelungenlied.[159] Wagner specifically developed the libretti for these operas according to his interpretation of Stabreim, highly alliterative rhyming verse-pairs used in old Germanic poetry.[160] They were also influenced by Wagner's concepts of ancient Greek drama, in which tetralogies were a component of Athenian festivals, and which he had amply discussed in his essay "Oper und Drama".[161]
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The first two components of the Ring cycle were Das Rheingold (The Rhinegold), which was completed in 1854, and Die Walküre (The Valkyrie), which was finished in 1856. In Das Rheingold, with its "relentlessly talky 'realism' [and] the absence of lyrical 'numbers'",[162] Wagner came very close to the musical ideals of his 1849–51 essays. Die Walküre, which contains what is virtually a traditional aria (Siegmund's Winterstürme in the first act), and the quasi-choral appearance of the Valkyries themselves, shows more "operatic" traits, but has been assessed by Barry Millington as "the music drama that most satisfactorily embodies the theoretical principles of 'Oper und Drama'... A thoroughgoing synthesis of poetry and music is achieved without any notable sacrifice in musical expression."[163]
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While composing the opera Siegfried, the third part of the Ring cycle, Wagner interrupted work on it and between 1857 and 1864 wrote the tragic love story Tristan und Isolde and his only mature comedy Die Meistersinger von Nürnberg (The Mastersingers of Nuremberg), two works that are also part of the regular operatic canon.[164]
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Tristan is often granted a special place in musical history; many see it as the beginning of the move away from conventional harmony and tonality and consider that it lays the groundwork for the direction of classical music in the 20th century.[86][165][166] Wagner felt that his musico-dramatical theories were most perfectly realised in this work with its use of "the art of transition" between dramatic elements and the balance achieved between vocal and orchestral lines.[167] Completed in 1859, the work was given its first performance in Munich, conducted by Bülow, in June 1865.[168]
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Die Meistersinger was originally conceived by Wagner in 1845 as a sort of comic pendant to Tannhäuser.[169] Like Tristan, it was premiered in Munich under the baton of Bülow, on 21 June 1868, and became an immediate success.[170] Barry Millington describes Meistersinger as "a rich, perceptive music drama widely admired for its warm humanity";[171] but because of its strong German nationalist overtones, it is also cited by some as an example of Wagner's reactionary politics and antisemitism.[172]
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When Wagner returned to writing the music for the last act of Siegfried and for Götterdämmerung (Twilight of the Gods), as the final part of the Ring, his style had changed once more to something more recognisable as "operatic" than the aural world of Rheingold and Walküre, though it was still thoroughly stamped with his own originality as a composer and suffused with leitmotifs.[173] This was in part because the libretti of the four Ring operas had been written in reverse order, so that the book for Götterdämmerung was conceived more "traditionally" than that of Rheingold;[174] still, the self-imposed strictures of the Gesamtkunstwerk had become relaxed. The differences also result from Wagner's development as a composer during the period in which he wrote Tristan, Meistersinger and the Paris version of Tannhäuser.[175] From act 3 of Siegfried onwards, the Ring becomes more chromatic melodically, more complex harmonically and more developmental in its treatment of leitmotifs.[176]
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Wagner took 26 years from writing the first draft of a libretto in 1848 until he completed Götterdämmerung in 1874. The Ring takes about 15 hours to perform[177] and is the only undertaking of such size to be regularly presented on the world's stages.
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Wagner's final opera, Parsifal (1882), which was his only work written especially for his Bayreuth Festspielhaus and which is described in the score as a "Bühnenweihfestspiel" ("festival play for the consecration of the stage"), has a storyline suggested by elements of the legend of the Holy Grail. It also carries elements of Buddhist renunciation suggested by Wagner's readings of Schopenhauer.[178] Wagner described it to Cosima as his "last card".[179] It remains controversial because of its treatment of Christianity, its eroticism, and its expression, as perceived by some commentators, of German nationalism and antisemitism.[180] Despite the composer's own description of the opera to King Ludwig as "this most Christian of works",[181] Ulrike Kienzle has commented that "Wagner's turn to Christian mythology, upon which the imagery and spiritual contents of Parsifal rest, is idiosyncratic and contradicts Christian dogma in many ways."[182] Musically the opera has been held to represent a continuing development of the composer's style, and Barry Millington describes it as "a diaphanous score of unearthly beauty and refinement".[28]
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Apart from his operas, Wagner composed relatively few pieces of music. These include a symphony in C major (written at the age of 19), the Faust Overture (the only completed part of an intended symphony on the subject), some concert overtures, and choral and piano pieces.[183] His most commonly performed work that is not an extract from an opera is the Siegfried Idyll for chamber orchestra, which has several motifs in common with the Ring cycle.[184] The Wesendonck Lieder are also often performed, either in the original piano version, or with orchestral accompaniment.[n 18] More rarely performed are the American Centennial March (1876), and Das Liebesmahl der Apostel (The Love Feast of the Apostles), a piece for male choruses and orchestra composed in 1843 for the city of Dresden.[186]
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After completing Parsifal, Wagner expressed his intention to turn to the writing of symphonies,[187] and several sketches dating from the late 1870s and early 1880s have been identified as work towards this end.[188] The overtures and certain orchestral passages from Wagner's middle and late-stage operas are commonly played as concert pieces. For most of these, Wagner wrote or rewrote short passages to ensure musical coherence. The "Bridal Chorus" from Lohengrin is frequently played as the bride's processional wedding march in English-speaking countries.[189]
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Wagner was an extremely prolific writer, authoring numerous books, poems, and articles, as well as voluminous correspondence. His writings covered a wide range of topics, including autobiography, politics, philosophy, and detailed analyses of his own operas.
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Wagner planned for a collected edition of his publications as early as 1865;[190] he believed that such an edition would help the world understand his intellectual development and artistic aims.[191] The first such edition was published between 1871 and 1883, but was doctored to suppress or alter articles that were an embarrassment to him (e.g. those praising Meyerbeer), or by altering dates on some articles to reinforce Wagner's own account of his progress.[192] Wagner's autobiography Mein Leben was originally published for close friends only in a very small edition (15–18 copies per volume) in four volumes between 1870 and 1880. The first public edition (with many passages suppressed by Cosima) appeared in 1911; the first attempt at a full edition (in German) appeared in 1963.[193]
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There have been modern complete or partial editions of Wagner's writings,[194] including a centennial edition in German edited by Dieter Borchmeyer (which, however, omitted the essay "Das Judenthum in der Musik" and Mein Leben).[195] The English translations of Wagner's prose in eight volumes by W. Ashton Ellis (1892–99) are still in print and commonly used, despite their deficiencies.[196] The first complete historical and critical edition of Wagner's prose works was launched in 2013 at the Institute for Music Research at the University of Würzburg; this will result in 16 volumes (eight of text and eight of commentary) totalling approximately 5,300 pages. It is anticipated that the project will be completed by 2030.[197]
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A complete edition of Wagner's correspondence, estimated to amount to between 10,000 and 12,000 items, is under way under the supervision of the University of Würzburg. As of October 2017, 23 volumes have appeared, covering the period to 1873.[198]
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Wagner's later musical style introduced new ideas in harmony, melodic process (leitmotif) and operatic structure. Notably from Tristan und Isolde onwards, he explored the limits of the traditional tonal system, which gave keys and chords their identity, pointing the way to atonality in the 20th century. Some music historians date the beginning of modern classical music to the first notes of Tristan, which include the so-called Tristan chord.[199][200]
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Wagner inspired great devotion. For a long period, many composers were inclined to align themselves with or against Wagner's music. Anton Bruckner and Hugo Wolf were greatly indebted to him, as were César Franck, Henri Duparc, Ernest Chausson, Jules Massenet, Richard Strauss, Alexander von Zemlinsky, Hans Pfitzner and numerous others.[201] Gustav Mahler was devoted to Wagner and his music; aged 15, he sought him out on his 1875 visit to Vienna,[202] became a renowned Wagner conductor,[203] and his compositions are seen by Richard Taruskin as extending Wagner's "maximalization" of "the temporal and the sonorous" in music to the world of the symphony.[204] The harmonic revolutions of Claude Debussy and Arnold Schoenberg (both of whose oeuvres contain examples of tonal and atonal modernism) have often been traced back to Tristan and Parsifal.[205] The Italian form of operatic realism known as verismo owed much to the Wagnerian concept of musical form.[206]
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Wagner made a major contribution to the principles and practice of conducting. His essay "About Conducting" (1869)[207] advanced Hector Berlioz's technique of conducting and claimed that conducting was a means by which a musical work could be re-interpreted, rather than simply a mechanism for achieving orchestral unison. He exemplified this approach in his own conducting, which was significantly more flexible than the disciplined approach of Felix Mendelssohn; in his view this also justified practices that would today be frowned upon, such as the rewriting of scores.[208][n 19] Wilhelm Furtwängler felt that Wagner and Bülow, through their interpretative approach, inspired a whole new generation of conductors (including Furtwängler himself).[210]
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Amongst those claiming inspiration from Wagner's music are the German band Rammstein,[211] and the electronic composer Klaus Schulze, whose 1975 album Timewind consists of two 30-minute tracks, Bayreuth Return and Wahnfried 1883. Joey DeMaio of the band Manowar has described Wagner as "The father of heavy metal".[212] The Slovenian group Laibach created the 2009 suite VolksWagner, using material from Wagner's operas.[213] Phil Spector's Wall of Sound recording technique was, it has been claimed, heavily influenced by Wagner.[214]
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Wagner's influence on literature and philosophy is significant. Millington has commented:
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[Wagner's] protean abundance meant that he could inspire the use of literary motif in many a novel employing interior monologue; ... the Symbolists saw him as a mystic hierophant; the Decadents found many a frisson in his work.[215]
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Friedrich Nietzsche was a member of Wagner's inner circle during the early 1870s, and his first published work, The Birth of Tragedy, proposed Wagner's music as the Dionysian "rebirth" of European culture in opposition to Apollonian rationalist "decadence". Nietzsche broke with Wagner following the first Bayreuth Festival, believing that Wagner's final phase represented a pandering to Christian pieties and a surrender to the new German Reich. Nietzsche expressed his displeasure with the later Wagner in "The Case of Wagner" and "Nietzsche contra Wagner".[216]
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The poets Charles Baudelaire, Stéphane Mallarmé and Paul Verlaine worshipped Wagner.[217] Édouard Dujardin, whose influential novel Les Lauriers sont coupés is in the form of an interior monologue inspired by Wagnerian music, founded a journal dedicated to Wagner, La Revue Wagnérienne, to which J. K. Huysmans and Téodor de Wyzewa contributed.[218] In a list of major cultural figures influenced by Wagner, Bryan Magee includes D. H. Lawrence, Aubrey Beardsley, Romain Rolland, Gérard de Nerval, Pierre-Auguste Renoir, Rainer Maria Rilke and numerous others.[219]
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In the 20th century, W. H. Auden once called Wagner "perhaps the greatest genius that ever lived",[220] while Thomas Mann[216] and Marcel Proust[221] were heavily influenced by him and discussed Wagner in their novels. He is also discussed in some of the works of James Joyce.[222] Wagnerian themes inhabit T. S. Eliot's The Waste Land, which contains lines from Tristan und Isolde and Götterdämmerung, and Verlaine's poem on Parsifal.[223]
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Many of Wagner's concepts, including his speculation about dreams, predated their investigation by Sigmund Freud.[224] Wagner had publicly analysed the Oedipus myth before Freud was born in terms of its psychological significance, insisting that incestuous desires are natural and normal, and perceptively exhibiting the relationship between sexuality and anxiety.[225] Georg Groddeck considered the Ring as the first manual of psychoanalysis.[226]
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Wagner's concept of the use of leitmotifs and the integrated musical expression which they can enable has influenced many 20th and 21st century film scores. The critic Theodor Adorno has noted that the Wagnerian leitmotif "leads directly to cinema music where the sole function of the leitmotif is to announce heroes or situations so as to allow the audience to orient itself more easily".[227] Amongst film scores citing Wagnerian themes are Francis Ford Coppola's Apocalypse Now, which features a version of the Ride of the Valkyries, Trevor Jones's soundtrack to John Boorman's film Excalibur,[228] and the 2011 films A Dangerous Method (dir. David Cronenberg) and Melancholia (dir. Lars von Trier).[229] Hans-Jürgen Syberberg's 1977 film Hitler: A Film from Germany's visual style and set design are strongly inspired by Der Ring des Nibelungen, musical excerpts from which are frequently used in the film's soundtrack.[230]
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Not all reaction to Wagner was positive. For a time, German musical life divided into two factions, supporters of Wagner and supporters of Johannes Brahms; the latter, with the support of the powerful critic Eduard Hanslick (of whom Beckmesser in Meistersinger is in part a caricature) championed traditional forms and led the conservative front against Wagnerian innovations.[231] They were supported by the conservative leanings of some German music schools, including the conservatories at Leipzig under Ignaz Moscheles and at Cologne under the direction of Ferdinand Hiller.[232] Another Wagner detractor was the French composer Charles-Valentin Alkan, who wrote to Hiller after attending Wagner's Paris concert on 25 January 1860 at which Wagner conducted the overtures to Der fliegende Holländer and Tannhäuser, the preludes to Lohengrin and Tristan und Isolde, and six other extracts from Tannhäuser and Lohengrin: "I had imagined that I was going to meet music of an innovative kind but was astonished to find a pale imitation of Berlioz ... I do not like all the music of Berlioz while appreciating his marvellous understanding of certain instrumental effects ... but here he was imitated and caricatured ... Wagner is not a musician, he is a disease."[233]
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Even those who, like Debussy, opposed Wagner ("this old poisoner")[234] could not deny his influence. Indeed, Debussy was one of many composers, including Tchaikovsky, who felt the need to break with Wagner precisely because his influence was so unmistakable and overwhelming. "Golliwogg's Cakewalk" from Debussy's Children's Corner piano suite contains a deliberately tongue-in-cheek quotation from the opening bars of Tristan.[235] Others who proved resistant to Wagner's operas included Gioachino Rossini, who said "Wagner has wonderful moments, and dreadful quarters of an hour."[236] In the 20th century Wagner's music was parodied by Paul Hindemith[n 20] and Hanns Eisler, among others.[237]
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Wagner's followers (known as Wagnerians or Wagnerites)[238] have formed many societies dedicated to Wagner's life and work.[239]
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Wagner has been the subject of many biographical films. The earliest was a silent film made by Carl Froelich in 1913 and featured in the title role the composer Giuseppe Becce, who also wrote the score for the film (as Wagner's music, still in copyright, was not available).[240] Amongst other film portrayals of Wagner are: Alan Badel in Magic Fire (1955); Lyndon Brook in Song Without End (1960); Trevor Howard in Ludwig (1972); Paul Nicholas in Lisztomania (1975); and Richard Burton in Wagner (1983).[241]
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Jonathan Harvey's opera Wagner Dream (2007) intertwines the events surrounding Wagner's death with the story of Wagner's uncompleted opera outline Die Sieger (The Victors).[242]
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Since Wagner's death, the Bayreuth Festival, which has become an annual event, has been successively directed by his widow, his son Siegfried, the latter's widow Winifred Wagner, their two sons Wieland and Wolfgang Wagner, and, presently, two of the composer's great-granddaughters, Eva Wagner-Pasquier and Katharina Wagner.[243] Since 1973, the festival has been overseen by the Richard-Wagner-Stiftung (Richard Wagner Foundation), the members of which include a number of Wagner's descendants.[244]
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Wagner's operas, writings, politics, beliefs and unorthodox lifestyle made him a controversial figure during his lifetime.[245] Following his death, debate about his ideas and their interpretation, particularly in Germany during the 20th century, has continued.
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Wagner's hostile writings on Jews, including Jewishness in Music, corresponded to some existing trends of thought in Germany during the 19th century;[246] however, despite his very public views on these themes, throughout his life Wagner had Jewish friends, colleagues and supporters.[247] There have been frequent suggestions that antisemitic stereotypes are represented in Wagner's operas. The characters of Alberich and Mime in the Ring, Sixtus Beckmesser in Die Meistersinger, and Klingsor in Parsifal are sometimes claimed as Jewish representations, though they are not identified as such in the librettos of these operas.[248][n 21] The topic of Wagner and the Jews is further complicated by allegations, which may have been credited by Wagner, that he himself was of Jewish ancestry, via his supposed father Geyer.[249]
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Some biographers have noted that Wagner in his final years developed interest in the racialist philosophy of Arthur de Gobineau, notably Gobineau's belief that Western society was doomed because of miscegenation between "superior" and "inferior" races.[250] According to Robert Gutman, this theme is reflected in the opera Parsifal.[251] Other biographers (such as Lucy Beckett) believe that this is not true, as the original drafts of the story date back to 1857 and Wagner had completed the libretto for Parsifal by 1877;[252] but he displayed no significant interest in Gobineau until 1880.[253]
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Wagner's ideas are amenable to socialist interpretations; many of his ideas on art were being formulated at the time of his revolutionary inclinations in the 1840s. Thus, for example, George Bernard Shaw wrote in The Perfect Wagnerite (1883):
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[Wagner's] picture of Niblunghome[n 22] under the reign of Alberic is a poetic vision of unregulated industrial capitalism as it was made known in Germany in the middle of the 19th century by Engels's book The Condition of the Working Class in England.[254]
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Left-wing interpretations of Wagner also inform the writings of Theodor Adorno among other Wagner critics.[n 23] Walter Benjamin gave Wagner as an example of "bourgeois false consciousness", alienating art from its social context.[255]
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The writer Robert Donington has produced a detailed, if controversial, Jungian interpretation of the Ring cycle, described as "an approach to Wagner by way of his symbols", which, for example, sees the character of the goddess Fricka as part of her husband Wotan's "inner femininity".[256] Millington notes that Jean-Jacques Nattiez has also applied psychoanalytical techniques in an evaluation of Wagner's life and works.[257]
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Adolf Hitler was an admirer of Wagner's music and saw in his operas an embodiment of his own vision of the German nation; in a 1922 speech he claimed that Wagner's works glorified "the heroic Teutonic nature ... Greatness lies in the heroic."[258] Hitler visited Bayreuth frequently from 1923 onwards and attended the productions at the theatre.[259] There continues to be debate about the extent to which Wagner's views might have influenced Nazi thinking.[n 24] Houston Stewart Chamberlain (1855–1927), who married Wagner's daughter Eva in 1908 but never met Wagner, was the author of the racist book The Foundations of the Nineteenth Century, approved by the Nazi movement.[261][n 25] Chamberlain met Hitler on a number of occasions between 1923 and 1927 in Bayreuth, but cannot credibly be regarded as a conduit of Wagner's own views.[264] The Nazis used those parts of Wagner's thought that were useful for propaganda and ignored or suppressed the rest.[265]
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While Bayreuth presented a useful front for Nazi culture, and Wagner's music was used at many Nazi events,[266] the Nazi hierarchy as a whole did not share Hitler's enthusiasm for Wagner's operas and resented attending these lengthy epics at Hitler's insistence.[267]
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Guido Fackler has researched evidence that indicates that it is possible that Wagner's music was used at the Dachau concentration camp in 1933–34 to "reeducate" political prisoners by exposure to "national music".[268] There has been no evidence to support claims, sometimes made,[269] that his music was played at Nazi death camps during the Second World War, and Pamela Potter has noted that Wagner's music was explicitly off-limits in the camps.[n 26]
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Because of the associations of Wagner with antisemitism and Nazism, the performance of his music in the State of Israel has been a source of controversy.[270]
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Prose works by Wagner
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Other sources
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Cardinal Armand Jean du Plessis, Duke of Richelieu (French pronunciation: [aʁmɑ̃ ʒɑ̃ dy plɛsi]; 9 September 1585 – 4 December 1642), commonly referred to as Cardinal Richelieu (UK: /ˈrɪʃəljɜː, ˈriːʃ-/,[1][2][3] US: /ˈrɪʃəl(j)uː, ˈriːʃ-/;[3][4][5] French: Cardinal de Richelieu [kaʁdinal d(ə) ʁiʃ(ə)ljø] (listen)), was a French clergyman and statesman. He was consecrated as a bishop in 1607 and was appointed Foreign Secretary in 1616. Richelieu soon rose in both the Catholic Church and the French government, becoming a cardinal in 1622, and King Louis XIII's chief minister in 1624. He remained in office until his death in 1642; he was succeeded by Cardinal Mazarin, whose career he had fostered.
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Cardinal de Richelieu was often known by the title of the king's "Chief Minister" or "First Minister". He sought to consolidate royal power and crush domestic factions. By restraining the power of the nobility, he transformed France into a strong, centralized state. His chief foreign policy objective was to check the power of the Austro-Spanish Habsburg dynasty and to ensure French dominance in the Thirty Years' War that engulfed Europe. Although he was a cardinal, he did not hesitate to make alliances with Protestant rulers in an attempt to achieve his goals. While a powerful political figure, events like the Day of the Dupes (Jour des Dupes) show that in fact he very much depended on the king's confidence to keep this power.
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As alumnus of the University of Paris and headmaster of the College of Sorbonne, he renovated and extended the institution. Richelieu was also famous for his patronage of the arts; most notably, he founded the Académie française, the learned society responsible for matters pertaining to the French language. Richelieu is also known by the sobriquet l'Éminence rouge ("the Red Eminence"), from the red shade of a cardinal's clerical dress and the style "eminence" as a cardinal. As an advocate for Samuel de Champlain and of the retention of New France, he founded the Compagnie des Cent-Associés and saw the Treaty of Saint-Germain-en-Laye return Quebec City to French rule under Champlain, after the settlement had been taken by the Kirkes in 1629. The city would prove to be at the heart of Francophone culture in North America.
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Richelieu has been depicted in popular fiction frequently, most notably as the lead villain in Alexandre Dumas's 1844 novel The Three Musketeers and its numerous film adaptations.
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Born in Paris, Armand du Plessis was the fourth of five children and the last of three sons: he was delicate from childhood, and suffered frequent bouts of ill-health throughout his life. His family was somewhat prominent, belonging to the lesser nobility of Poitou:[6] his father, François du Plessis, seigneur de Richelieu, was a soldier and courtier who served as the Grand Provost of France,[7] and his mother, Susanne de La Porte, was the daughter of a famous jurist.[8] When he was five years old, his father died fighting in the French Wars of Religion,[9] leaving the family in debt; with the aid of royal grants, however, the family was able to avoid financial difficulties. At the age of nine, young Richelieu was sent to the College of Navarre in Paris to study philosophy.[10] Thereafter, he began to train for a military career.[11] His private life seems to have been typical of a young officer of the era: in 1605, aged twenty, he was treated by Théodore de Mayerne for pneumonia.[12]
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Henry III had rewarded Richelieu's father for his participation in the Wars of Religion by granting his family the bishopric of Luçon.[13] The family appropriated most of the revenues of the bishopric for private use; they were, however, challenged by clergymen who desired the funds for ecclesiastical purposes. To protect the important source of revenue, Richelieu's mother proposed to make her second son, Alphonse, the bishop of Luçon.[14] Alphonse, who had no desire to become a bishop, became instead a Carthusian monk.[15] Thus, it became necessary that the younger Richelieu join the clergy. He had strong academic interests and threw himself into studying for his new post.[citation needed]
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In 1606 Henry IV nominated Richelieu to become Bishop of Luçon.[14] As Richelieu had not yet reached the canonical minimum age, it was necessary that he journey to Rome for a special dispensation from Pope Paul V. This secured, Richelieu was consecrated bishop in April 1607. Soon after he returned to his diocese in 1608, Richelieu was heralded as a reformer.[16] He became the first bishop in France to implement the institutional reforms prescribed by the Council of Trent between 1545 and 1563.[17]
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At about this time, Richelieu became a friend of François Leclerc du Tremblay (better known as "Père Joseph" or "Father Joseph"), a Capuchin friar, who would later become a close confidant. Because of his closeness to Richelieu, and the grey colour of his robes, Father Joseph was also nicknamed L'éminence grise ("the Grey Eminence"). Later, Richelieu often used him as an agent during diplomatic negotiations.[18]
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In 1614, the clergymen of Poitou asked Richelieu to be one of their representatives to the Estates-General.[19] There, he was a vigorous advocate of the Church, arguing that it should be exempt from taxes and that bishops should have more political power. He was the most prominent clergyman to support the adoption of the decrees of the Council of Trent throughout France;[20] the Third Estate (commoners) was his chief opponent in this endeavour. At the end of the assembly, the First Estate (the clergy) chose him to deliver the address enumerating its petitions and decisions.[21] Soon after the dissolution of the Estates-General, Richelieu entered the service of King Louis XIII's wife, Anne of Austria, as her almoner.[22]
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Richelieu advanced politically by faithfully serving the Queen-Mother's favourite, Concino Concini, the most powerful minister in the kingdom.[23] In 1616, Richelieu was made Secretary of State, and was given responsibility for foreign affairs.[21] Like Concini, the Bishop was one of the closest advisors of Louis XIII's mother, Marie de Médicis. The Queen had become Regent of France when the nine-year-old Louis ascended the throne; although her son reached the legal age of majority in 1614, she remained the effective ruler of the realm.[24] However, her policies, and those of Concini, proved unpopular with many in France. As a result, both Marie and Concini became the targets of intrigues at court; their most powerful enemy was Charles de Luynes.[25] In April 1617, in a plot arranged by Luynes, Louis XIII ordered that Concini be arrested, and killed should he resist; Concini was consequently assassinated, and Marie de Médicis overthrown.[26] His patron having died, Richelieu also lost power; he was dismissed as Secretary of State, and was removed from the court.[26] In 1618, the King, still suspicious of the Bishop of Luçon, banished him to Avignon. There, Richelieu spent most of his time writing; he composed a catechism entitled L'Instruction du chrétien.[27]
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In 1619, Marie de Médicis escaped from her confinement in the Château de Blois, becoming the titular leader of an aristocratic rebellion. The King and the duc de Luynes recalled Richelieu, believing that he would be able to reason with the Queen. Richelieu was successful in this endeavour, mediating between her and her son.[28] Complex negotiations bore fruit when the Treaty of Angoulême was ratified; Marie de Médicis was given complete freedom, but would remain at peace with the King. The Queen-Mother was also restored to the royal council.[citation needed]
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After the death of the King's favourite, the duc de Luynes, in 1621, Richelieu rose to power quickly. The year after, the King nominated Richelieu for a cardinalate, which Pope Gregory XV accordingly granted in September 1622.[29] Crises in France, including a rebellion of the Huguenots, rendered Richelieu a nearly indispensable advisor to the King. After he was appointed to the royal council of ministers on 29 April 1624,[30] he intrigued against the chief minister, Charles, duc de La Vieuville.[28] On 12 August of the same year, La Vieuville was arrested on charges of corruption, and Cardinal Richelieu took his place as the King's principal minister the following day, although the Cardinal de la Rochefoucauld nominally remained president of the council (Richelieu was officially appointed president in November 1629).[31]
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Cardinal Richelieu's policy involved two primary goals: centralization of power in France[32] and opposition to the Habsburg dynasty (which ruled in both Austria and Spain).[33] Shortly after he became Louis' principal minister, he was faced with a crisis in Valtellina, a valley in Lombardy (northern Italy). To counter Spanish designs on the territory, Richelieu supported the Protestant Swiss canton of Grisons, which also claimed the strategically important valley. The Cardinal deployed troops to Valtellina, from which the Pope's garrisons were driven out.[34] Richelieu's early decision to support a Protestant canton against the Pope was a foretaste of the purely diplomatic power politics he would espouse in his foreign policy.
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To further consolidate power in France, Richelieu sought to suppress the influence of the feudal nobility. In 1626, he abolished the position of Constable of France and ordered all fortified castles razed, excepting only those needed to defend against invaders.[35] Thus he stripped the princes, dukes, and lesser aristocrats of important defences that could have been used against the King's armies during rebellions. As a result, Richelieu was hated by most of the nobility.
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Another obstacle to the centralization of power was religious division in France. The Huguenots, one of the largest political and religious factions in the country, controlled a significant military force, and were in rebellion.[36] Moreover, the King of England, Charles I, declared war on France in an attempt to aid the Huguenot faction. In 1627, Richelieu ordered the army to besiege the Huguenot stronghold of La Rochelle; the Cardinal personally commanded the besieging troops.[37] English troops under the Duke of Buckingham led an expedition to help the citizens of La Rochelle, but failed abysmally. The city, however, remained firm for over a year before capitulating in 1628.
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Although the Huguenots suffered a major defeat at La Rochelle, they continued to fight, led by Henri, duc de Rohan. Protestant forces, however, were defeated in 1629; Rohan submitted to the terms of the Peace of Alais.[38] As a result, religious toleration for Protestants, which had first been granted by the Edict of Nantes in 1598, was permitted to continue, but the Cardinal abolished their political rights and protections.[38] Rohan was not executed (as were leaders of rebellions later in Richelieu's tenure); in fact, he later became a commanding officer in the French army.
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Habsburg Spain exploited the French conflict with the Huguenots to extend its influence in northern Italy. It funded the Huguenot rebels to keep the French army occupied, meanwhile expanding its Italian dominions. Richelieu, however, responded aggressively; after La Rochelle capitulated, he personally led the French army to northern Italy to restrain Spain. On 26 November 1629, he was created duc de Richelieu and a Peer of France.
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In the next year, Richelieu's position was seriously threatened by his former patron, Marie de Médicis. Marie believed that the Cardinal had robbed her of her political influence; thus, she demanded that her son dismiss the chief minister.[39] Louis XIII was not, at first, averse to such a course of action, as he personally disliked Richelieu.[21] Despite this, the persuasive statesman was able to secure the king as an ally against his own mother. On 11 November 1630, Marie de Médicis and the King's brother, Gaston, duc d'Orléans, secured the King's agreement for the dismissal. Richelieu, however, was aware of the plan, and quickly convinced the King to repent.[40] This day, known as the Day of the Dupes, was the only one on which Louis XIII took a step toward dismissing his minister. Thereafter, the King was unwavering in his political support for him.
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Meanwhile, Marie de Médicis was exiled to Compiègne. Both Marie and the duc d'Orléans continued to conspire against Richelieu, but their schemes came to nothing. The nobility also remained powerless. The only important rising was that of Henri, duc de Montmorency in 1632; Richelieu, ruthless in suppressing opposition, ordered the duke's execution. In 1634, the Cardinal had one of his outspoken critics, Urbain Grandier, burned at the stake in the Loudun affair. These and other harsh measures were orchestrated by Richelieu to intimidate his enemies. He also ensured his political security by establishing a large network of spies in France as well as in other European countries.
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Henri Motte's depiction of Cardinal Richelieu at the Siege of La Rochelle.
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Letter of Cardinal Richelieu to Claude de Razilly asking him to do everything in his power to relieve Ré Island in the Siege of Saint-Martin-de-Ré, July 1627.
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On the "Day of the Dupes" in 1630, it appeared that Marie de Médicis had secured Richelieu's dismissal. Richelieu, however, survived the scheme, and Marie was exiled as a result.
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Before Richelieu's ascent to power, most of Europe had become enmeshed in the Thirty Years' War (1618–1648). France was not openly at war with the Habsburgs, who ruled Spain and the Holy Roman Empire, so subsidies and aid were provided secretly to their adversaries.[41] He considered the Dutch Republic as one of France's most important allies, for it bordered directly with the Spanish Netherlands and was right in the middle of the Eighty Years' War with Spain at that time. Luckily for him, Richelieu was a bon français, just like the king, who had already decided to subsidize the Dutch to fight against the Spanish via the Treaty of Compiègne in June 1624, prior to Richelieu's appointment to First Minister in August.[42] That same year, a military expedition, secretly financed by France and commanded by Marquis de Coeuvres, started an action with the intention of liberating the Valtelline from Spanish occupation. In 1625, Richelieu also sent money to Ernst von Mansfeld, a famous mercenary general operating in Germany in English service. However, in May 1626, when war costs had almost ruined France, king and cardinal made peace with Spain via the Treaty of Monçon.[43] This peace quickly broke down after tensions due to the War of the Mantuan Succession.[44]
|
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In 1629, Emperor Ferdinand II subjugated many of his Protestant opponents in Germany. Richelieu, alarmed by Ferdinand's growing influence, incited Sweden to intervene, providing money.[45] In the meantime, France and Spain remained hostile due to Spain's ambitions in northern Italy. At that time northern Italy was a major strategic region in Europe's balance of power, serving as a link between the Habsburgs in the Empire and in Spain. Had the imperial armies dominated this region, France would have been threatened by Habsburg encirclement. Spain was meanwhile seeking papal approval for a universal monarchy. When in 1630 French diplomats in Regensburg agreed to make peace with Spain, Richelieu refused to support them. The agreement would have prohibited French interference in Germany. Therefore, Richelieu advised Louis XIII to refuse to ratify the treaty. In 1631, he allied France to Sweden, who had just invaded the empire, in the Treaty of Bärwalde.[45]
|
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Military expenses placed a considerable strain on royal revenues. In response, Richelieu raised the gabelle (salt tax) and the taille (land tax).[46] The taille was enforced to provide funds to raise armies and wage war. The clergy, nobility, and high bourgeoisie were either exempt or could easily avoid payment, so the burden fell on the poorest segment of the nation. To collect taxes more efficiently, and to keep corruption to a minimum, Richelieu bypassed local tax officials, replacing them with intendants (officials in the direct service of the Crown).[47] Richelieu's financial scheme, however, caused unrest among the peasants; there were several uprisings in 1636 to 1639.[48] Richelieu crushed the revolts violently, and dealt with the rebels harshly.[49]
|
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Because he openly aligned France with Protestant powers, Richelieu was denounced by many as a traitor to the Roman Catholic Church. Military action, at first, was disastrous for the French, with many victories going to Spain and the Empire.[50] Neither side, however, could obtain a decisive advantage, and the conflict lingered on after Richelieu's death. Richelieu was instrumental in redirecting the Thirty Years' War from the conflict of Protestantism versus Catholicism to that of nationalism versus Habsburg hegemony.[51] In this conflict France effectively drained the already overstretched resources of the Habsburg empire and drove it inexorably towards bankruptcy.[52] The defeat of Habsburg forces at the Battle of Lens in 1648, coupled with their failure to prevent a French invasion of Catalonia, effectively spelled the end for Habsburg domination of the continent, and for the personal career of Spanish prime minister Olivares.[52] Indeed, in the subsequent years it would be France, under the leadership of Louis XIV, who would attempt to fill the vacuum left by the Habsburgs in the Spanish Netherlands and supplant Spain as the dominant European power.[citation needed]
|
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When Richelieu came to power, New France, where the French had a foothold since Jacques Cartier, had no more than 100 permanent European inhabitants.[53] Richelieu encouraged Louis XIII to colonize the Americas by the foundation of the Compagnie de la Nouvelle France in imitation of the Dutch West India Company. Unlike the other colonial powers, France encouraged a peaceful coexistence in New France between Natives and Colonists and sought the integration of Indians into colonial society.[54][55] Samuel de Champlain, governor of New France at the time of Richelieu, saw intermarriage between French and Indians as a solution to increase population in its colony.[56] Under the guidance of Richelieu, Louis XIII issued the Ordonnance of 1627 by which the Indians, converted to Catholicism, were considered as "natural Frenchmen":
|
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The descendants of the French who are accustomed to this country [New France], together with all the Indians who will be brought to the knowledge of the faith and will profess it, shall be deemed and renowned natural Frenchmen, and as such may come to live in France when they want, and acquire, donate, and succeed and accept donations and legacies, just as true French subjects, without being required to take letters of declaration of naturalization.[57]
|
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The 1666 census of New France, conducted some 20 years after the death of Cardinal Richelieu, showed a population of 3,215 habitants in New France, many more than there had been only a few decades earlier, but also a great difference in the number of men (2,034) and women (1,181).[58]
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Towards the end of his life, Richelieu alienated many people, including Pope Urban VIII. Richelieu was displeased by the Pope's refusal to name him the papal legate in France;[59] in turn, the Pope did not approve of the administration of the French church, or of French foreign policy. However, the conflict was largely healed when the Pope granted a cardinalate to Jules Mazarin, one of Richelieu's foremost political allies, in 1641. Despite troubled relations with the Roman Catholic Church, Richelieu did not support the complete repudiation of papal authority in France, as was advocated by the Gallicanists.[60]
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As he neared death, Richelieu faced a plot that threatened to remove him from power. The cardinal had introduced a young man named Henri Coiffier de Ruzé, marquis de Cinq-Mars to Louis XIII's court.[61] The Cardinal had been a friend of Cinq-Mars' father.[61] More importantly, Richelieu hoped that Cinq-Mars would become Louis' favourite, so that he could indirectly exercise greater influence over the monarch's decisions. Cinq-Mars had become the royal favourite by 1639, but, contrary to Cardinal Richelieu's belief, he was not easy to control. The young marquis realized that Richelieu would not permit him to gain political power.[62] In 1641, he participated in the comte de Soissons' failed conspiracy against Richelieu, but was not discovered.[63] Then, the following year, he schemed with leading nobles (including the King's brother, the duc d'Orléans) to raise a rebellion; he also signed a secret agreement with the King of Spain, who promised to aid the rebels.[64] Richelieu's spy service, however, discovered the plot, and the Cardinal received a copy of the treaty.[65] Cinq-Mars was promptly arrested and executed; although Louis approved the use of capital punishment, he grew more distant from Richelieu as a result.[citation needed]
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However, Richelieu was now dying. For many years he had suffered from recurrent fevers (possibly malaria), strangury, intestinal tuberculosis with fistula, and migraine. Now his right arm was suppurating with tubercular osteitis, and he coughed blood (after his death, his lungs were found to have extensive cavities and caseous necrosis). His doctors continued to bleed him frequently, further weakening him.[66] As he felt his death approaching, he named Mazarin, one of his most faithful followers, to succeed him as chief minister to the King.[67]
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Richelieu died on 4 December 1642, aged 57. His body was embalmed and interred at the church of the Sorbonne. During the French Revolution, the corpse was removed from its tomb, and the mummified front of his head, having been removed and replaced during the original embalming process, was stolen. It ended up in the possession of Nicholas Armez of Brittany by 1796, and he occasionally exhibited the well-preserved face. His nephew, Louis-Philippe Armez, inherited it and also occasionally exhibited it and lent it out for study. In 1866, Napoleon III persuaded Armez to return the face to the government for re-interment with the rest of Richelieu's body. An investigation of subsidence of the church floor enabled the head to be photographed in 1895.[68][69]
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Richelieu was a famous patron of the arts. An author of various religious and political works (most notably his Political Testament), he sent his agents abroad[70] in search of books and manuscripts for his unrivaled library, which he specified in his will – leaving it to his great-nephew fully funded – should serve not merely his family but to be open at fixed hours to scholars. The manuscripts alone numbered some 900, bound as codices in red Morocco with the cardinal's arms. The library was transferred to the Sorbonne in 1660.[71] He funded the literary careers of many writers. He was a lover of the theatre, which was not considered a respectable art form during that era; a private theatre was a feature of the Palais-Cardinal. Among the individuals he patronized was the famous playwright Pierre Corneille.[72] Richelieu was also the founder and patron of the Académie française, the pre-eminent French literary society.[73] The institution had previously been in informal existence; in 1635, however, Cardinal Richelieu obtained official letters patent for the body. The Académie française includes forty members, promotes French literature, and remains the official authority on the French language. Richelieu served as the Académie's protector. Since 1672, that role has been fulfilled by the French head of state.[citation needed]
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In 1622, Richelieu was elected the proviseur or principal of the Sorbonne.[74] He presided over the renovation of the college's buildings and over the construction of its famous chapel, where he is now entombed. As he was Bishop of Luçon, his statue stands outside the Luçon cathedral.[citation needed]
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Richelieu oversaw the construction of his own palace in Paris, the Palais-Cardinal.[75] The palace, renamed the Palais Royal after Richelieu's death, now houses the French Constitutional Council, the Ministry of Culture, and the Conseil d'État. The Galerie de l'avant-cour had ceiling paintings by the Cardinal's chief portraitist, Philippe de Champaigne, celebrating the major events of the Cardinal's career; the Galerie des hommes illustres had twenty-six historicizing portraits of great men, larger than life, from Abbot Suger to Louis XIII; some were by Simon Vouet, others were careful copies by Philippe de Champaigne from known portraits;[76] with them were busts of Roman emperors. Another series of portraits of authors complemented the library. The architect of the Palais-Cardinal, Jacques Lemercier, also received a commission to build a château and a surrounding town in Indre-et-Loire; the project culminated in the construction of the Château Richelieu and the town of Richelieu. To the château, he added one of the largest art collections in Europe and the largest collection of ancient Roman sculpture in France. The heavily resurfaced and restored Richelieu Bacchus continued to be admired by neoclassical artists.[77] Among his 300 paintings by moderns, most notably, he owned Leonardo's Virgin and Child with Saint Anne, The Family of the Virgin by Andrea del Sarto, the two famous Bacchanales of Nicolas Poussin, as well as paintings by Veronese and Titian, and Diana at the Bath by Rubens, for which he was so glad to pay the artist's heirs 3,000 écus, that he made a gift to Rubens' widow of a diamond-encrusted watch. His marble portrait bust by Bernini was not considered a good likeness and was banished to a passageway.[78]
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The fittings of his chapel in the Palais-Cardinal, for which Simon Vouet executed the paintings, were of solid gold – crucifix, chalice, paten, ciborium, candlesticks – set with 180 rubies and 9,000 diamonds.[79] His taste also ran to massive silver, small bronzes and works of vertu, enamels and rock crystal mounted in gold, Chinese porcelains, tapestries and Persian carpets, cabinets from Italy, and Antwerp and the heart-shaped diamond bought from Alphonse Lopez that he willed to the king. When the Palais-Cardinal was complete, he donated it to the Crown, in 1636. With the Queen in residence, the paintings of the Grand Cabinet were transferred to Fontainebleau and replaced by copies, and the interiors were subjected to much rearrangement.[citation needed]
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Michelangelo's two Slaves were among the rich appointments of the château Richelieu, where there were the Nativity triptych by Dürer, and paintings by Mantegna, Lorenzo Costa and Perugino, lifted from the Gonzaga collection at Mantua by French military forces in 1630, as well as numerous antiquities.[citation needed]
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Richelieu's tenure was a crucial period of reform for France. Earlier, the nation's political structure was largely feudal, with powerful nobles and a wide variety of laws in different regions.[81] Parts of the nobility periodically conspired against the King, raised private armies, and allied themselves with foreign powers. This system gave way to centralized power under Richelieu.[82] Local and even religious interests were subordinated to those of the whole nation, and of the embodiment of the nation – the King. Equally critical for France was Richelieu's foreign policy, which helped restrain Habsburg influence in Europe. Richelieu did not survive to the end of the Thirty Years' War. However, the conflict ended in 1648, with France emerging in a far better position than any other power, and the Holy Roman Empire entering a period of decline.[citation needed]
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Richelieu's successes were extremely important to Louis XIII's successor, King Louis XIV. He continued Richelieu's work of creating an absolute monarchy; in the same vein as the Cardinal, he enacted policies that further suppressed the once-mighty aristocracy, and utterly destroyed all remnants of Huguenot political power with the Edict of Fontainebleau. Moreover, Louis took advantage of his nation's success during the Thirty Years' War to establish French hegemony in continental Europe. Thus, Richelieu's policies were the requisite prelude to Louis XIV becoming the most powerful monarch, and France the most powerful nation, in all of Europe during the late seventeenth century.[citation needed]
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Richelieu is also notable for the authoritarian measures he employed to maintain power. He censored the press,[83] established a large network of internal spies, forbade the discussion of political matters in public assemblies such as the Parlement de Paris (a court of justice), and had those who dared to conspire against him prosecuted and executed. The Canadian historian and philosopher John Ralston Saul has referred to Richelieu as the "father of the modern nation-state, modern centralised power [and] the modern secret service."[citation needed]
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Richelieu's motives are the focus of much debate among historians: some see him as a patriotic supporter of the monarchy, while others view him as a power-hungry cynic. The latter image gained further currency due to Alexandre Dumas' The Three Musketeers, which depicts Richelieu as a self-serving and ruthless de facto ruler of France.[citation needed]
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Despite such arguments, Richelieu remains an honoured personality in France. He has given his name to a battleship and a battleship class.
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His legacy is also important for the world at large; his ideas of a strong nation-state and aggressive foreign policy helped create the modern system of international politics. The notions of national sovereignty and international law can be traced, at least in part, to Richelieu's policies and theories, especially as enunciated in the Treaty of Westphalia that ended the Thirty Years' War.[citation needed]
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A less renowned aspect of his legacy is his involvement with Samuel de Champlain and the fledgling colony along the St. Lawrence River. The retention and promotion of Canada under Richelieu allowed it – and through the settlement's strategic location, the St. Lawrence-Great Lakes gateway into the North American interior – to develop into a French empire in North America, parts of which eventually became modern Canada and Louisiana.[citation needed]
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As of April 2013, the Internet Movie Database listed 94 films and television programs in which Cardinal Richelieu is a character. Richelieu is one of the clergymen most frequently portrayed in film, notably in the many versions of Alexandre Dumas's The Three Musketeers. He is usually portrayed as a sinister character, but the 1950 Cyrano de Bergerac shows Richelieu (played by Edgar Barrier in a scene not from Rostand's original verse drama) as compassionate to Cyrano's financial plight, and playfully having enjoyed the duel at the theatre. Actors who have portrayed Cardinal Richelieu on film and television include Nigel De Brulier, George Arliss, Miles Mander, Vincent Price, Charlton Heston, Tcheky Karyo, Stephen Rea, Tim Curry, Christoph Waltz and Peter Capaldi.
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The 1839 play Richelieu; Or the Conspiracy, by Edward Bulwer-Lytton, portrayed Richelieu uttering the now famous line, "The pen is mightier than the sword." The play was adapted into the 1935 film Cardinal Richelieu.[citation needed]
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In the 1969 episode "How to Recognise Different Types of Trees from Quite a Long Way Away" from Monty Python's Flying Circus there is the sketch "Court Scene with Cardinal Richelieu" in which Michael Palin in Richelieu's likeness is seen to be doing wildly absurd acts.[84]
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In the 1632/Ring of Fire series by Eric Flint, he is one of the primary antagonists to the nascent United States of Europe.
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Many sites and landmarks were named to honor Cardinal Richelieu. They include:[85]
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There is also an ornate style of lace, Richelieu lace, named in honor of the cardinal.[86]
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Riga (/ˈriːɡə/; Latvian: Rīga [ˈriːɡa] (listen); Livonian: Rīgõ) is the capital of Latvia and is home to 627,487 inhabitants (2020),[10] which is a third of Latvia's population. Being significantly larger than other cities of Latvia, Riga is the country's primate city. It is also the largest city in the three Baltic states and is home to one tenth of the three Baltic states' combined population.[11] The city lies on the Gulf of Riga at the mouth of the Daugava river where it meets the Baltic Sea. Riga's territory covers 307.17 km2 (118.60 sq mi) and lies 1–10 m (3 ft 3 in–32 ft 10 in) above sea level,[12] on a flat and sandy plain.[12] It is 308 kilometres (191 mi) from Riga to Tallinn, the capital of Estonia, and 245 kilometres (152 mi) to Estonia's second largest city, Tartu.
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Riga was founded in 1201 and is a former Hanseatic League member. Riga's historical centre is a UNESCO World Heritage Site, noted for its Art Nouveau/Jugendstil architecture and 19th century wooden architecture.[13] Riga was the European Capital of Culture in 2014, along with Umeå in Sweden. Riga hosted the 2006 NATO Summit, the Eurovision Song Contest 2003, the 2006 IIHF Men's World Ice Hockey Championships and the 2013 World Women's Curling Championship. It is home to the European Union's office of European Regulators for Electronic Communications (BEREC). In 2017, it was named the European Region of Gastronomy.
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In 2016, Riga received over 1.4 million visitors.[14] The city is served by Riga International Airport, the largest and busiest airport in the Baltic states. Riga is a member of Eurocities,[15] the Union of the Baltic Cities (UBC)[16] and Union of Capitals of the European Union (UCEU).[17]
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One theory about the origin of the name Riga is that it is a corrupted borrowing from the Liv ringa meaning loop, referring to the ancient natural harbour formed by the tributary loop of the Daugava River.[18][19] Another is that Riga owes its name to this already-established role in commerce between East and West,[20] as a borrowing of the Latvian rija, for threshing barn, the "j" becoming a "g" in German — notably, Riga is called Rie by English geographer Richard Hakluyt (1589),[21][22] and German historian Dionysius Fabricius (1610) confirms the origin of Riga from rija.[21][23] Another theory could be that Riga was named after Riege, the German name for the River Rīdzene, a tributary of the Daugava.[24]
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Another theory is that Riga's name was introduced by the bishop Albert, initiator of christening and conquest of Livonian and Baltic people. He also introduced an explanation of the city name as derived from Latin rigata ("irrigated") that symbolizes an "irrigation of dry pagan souls by Christianity".[25]
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The river Daugava has been a trade route since antiquity, part of the Vikings' Dvina-Dnieper navigation route to Byzantium.[21] A sheltered natural harbour 15 km (9.3 mi) upriver from the mouth of the Daugava — the site of today's Riga — has been recorded, as Duna Urbs, as early as the 2nd century.[21] It was settled by the Livs, an ancient Finnic tribe.
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Riga began to develop as a centre of Viking trade during the early Middle Ages.[21]
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Riga's inhabitants occupied themselves mainly with fishing, animal husbandry, and trading, later developing crafts (in bone, wood, amber, and iron).[21]
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The Livonian Chronicle of Henry testifies to Riga having long been a trading centre by the 12th century, referring to it as portus antiquus (ancient port), and describes dwellings and warehouses used to store mostly flax, and hides.[21] German traders began visiting Riga, establishing a nearby outpost in 1158.
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Along with German traders the monk Meinhard of Segeberg[20] arrived to convert the Livonian pagans to Christianity. Catholic and Orthodox Christianity had already arrived in Latvia more than a century earlier, and many Latvians had been baptised.[20][21] Meinhard settled among the Livs, building a castle and church at Uexküll (now known as Ikšķile), upstream from Riga, and established his bishopric there.[20] The Livs, however, continued to practice paganism and Meinhard died in Uexküll in 1196, having failed in his mission.[26] In 1198, the Bishop Berthold arrived with a contingent of crusaders[26] and commenced a campaign of forced Christianization.[20][21] Berthold died soon afterwards and his forces were defeated.[26]
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The Church mobilised to avenge the issuance of a bull by Pope Innocent III declaring a crusade against the Livonians.[26] Bishop Albert was proclaimed Bishop of Livonia by his uncle Hartwig of Uthlede, Prince-Archbishop of Bremen and Hamburg in 1199. Albert landed in Riga in 1200[21][26] with 23 ships[27] and 500 Westphalian crusaders.[28] In 1201, he transferred the seat of the Livonian bishopric from Uexküll to Riga, extorting agreement to do this from the elders of Riga by force.[21]
|
23 |
+
|
24 |
+
The year 1201 also marked the first arrival of German merchants in Novgorod, via the Dvina.[29] To defend territory[30] and trade, Albert established the Order of Livonian Brothers of the Sword in 1202, which was open to nobles and merchants.[29]
|
25 |
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|
26 |
+
The Christianization of the Livs continued. In 1207, Albert started to fortify the town.[29][31] Emperor Philip invested Albert with Livonia as a fief[32] and principality of the Holy Roman Empire.[21] To promote a permanent military presence, territorial ownership was divided between the Church and the Order, with the Church taking Riga and two-thirds of all lands conquered and granting the Order a third.[33] Until then, it had been customary for crusaders to serve for a year and then return home.[33]
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Albert had ensured Riga's commercial future by obtaining papal bulls which decreed that all German merchants had to carry on their Baltic trade through Riga.[33] In 1211, Riga minted its first coinage,[21] and Albert laid the cornerstone for the Riga Dom.[34] Riga was not yet secure as an alliance of tribes failed to take Riga.[33] In 1212, Albert led a campaign to compel Polotsk to grant German merchants free river passage.[29] Polotsk conceded Kukenois (Koknese) and Jersika to Albert, also ending the Livs' tribute to Polotsk.[35]
|
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+
|
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+
Riga's merchant citizenry chafed and sought greater autonomy from the Church. In 1221, they acquired the right to independently self-administer Riga[30] and adopted a city constitution.[36]
|
31 |
+
|
32 |
+
That same year Albert was compelled to recognise Danish rule over lands they had conquered in Estonia and Livonia.[37] Albert had sought the aid of King Valdemar of Denmark to protect Riga and Livonian lands against Liv insurrection when reinforcements could not reach Riga. The Danes landed in Livonia, built a fortress at Reval (Tallinn) and set about conquering Estonian and Livonian lands. The Germans attempted, but failed, to assassinate Valdemar.[38] Albert was able to reach an accommodation with them a year later, however and, in 1222, Valdemar returned all Livonian lands and possessions to Albert's control.[39]
|
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+
|
34 |
+
Albert's difficulties with Riga's citizenry continued; with papal intervention, a settlement was reached in 1225 whereby they no longer had to pay tax to the Bishop of Riga,[40] and Riga's citizens acquired the right to elect their magistrates and town councillors.[40] In 1226, Albert consecrated the Dom Cathedral,[21] built St. James's Church,[21] (now a cathedral) and founded a parochial school at the Church of St. George.[20]
|
35 |
+
|
36 |
+
In 1227, Albert conquered Oesel[41] and the city of Riga concluded a treaty with the Principality of Smolensk giving Polotsk to Riga.[42]
|
37 |
+
|
38 |
+
Albert died in January 1229.[43] He failed in his aspiration to be anointed archbishop[32] but the German hegemony he established over the Baltic would last for seven centuries.[33]
|
39 |
+
|
40 |
+
In 1282, Riga became a member of the Hanseatic League. The Hansa was instrumental in giving Riga economic and political stability, thus providing the city with a strong foundation which endured the political conflagrations that were to come, down to modern times.
|
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|
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+
As the influence of the Hanseatic League waned, Riga became the object of foreign military, political, religious and economic aspirations. Riga accepted the Reformation in 1522, ending the power of the archbishops. In 1524, iconoclasts targeted a statue of the Virgin Mary in the Cathedral to make a statement against religious icons. It was accused of being a witch, and given a trial by water in the Daugava River. The statue floated, so it was denounced as a witch and burnt at Kubsberg.[44] With the demise of the Livonian Order during the Livonian War, Riga for twenty years had the status of a Free imperial city of the Holy Roman Empire before it came under the influence of the Polish–Lithuanian Commonwealth by the Treaty of Drohiczyn, which ended the war for Riga in 1581. In 1621, during the Polish–Swedish War (1621–1625), Riga and the outlying fortress of Daugavgriva came under the rule of Gustavus Adolphus, King of Sweden, who intervened in the Thirty Years' War not only for political and economic gain but also in favour of German Lutheran Protestantism. During the Russo-Swedish War (1656–1658), Riga withstood a siege by Russian forces.
|
43 |
+
|
44 |
+
Riga remained one of the largest cities under the Swedish crown until 1710,[45] a period during which the city retained a great deal of autonomous self-government. In 1701, the opening phase of the Great Northern War, the Battle of Riga (also known as the Crossing of the Düna) took place nearby and ended with a Swedish victory. However, in 1710 the Russians under Tsar Peter the Great besieged plague-stricken Riga. Along with the other Livonian towns and gentry, Riga capitulated to Russia, but largely retained their privileges. Riga was made the capital of the Governorate of Riga (later: Livonia). Sweden's northern dominance had ended, and Russia's emergence as the strongest Northern power was formalised through the Treaty of Nystad in 1721. At the beginning of the 20th century Riga was the largest timber export port in the Russian Empire and ranked the 3rd according to the external trade volume.[46] By 1900, Riga was the fifth[dubious – discuss] largest city in Russian Empire after Moscow, St. Petersburg, Warsaw, and Odessa.[47][failed verification]
|
45 |
+
|
46 |
+
During these many centuries of war and changes of power in the Baltic, and despite demographic changes, the Baltic Germans in Riga had maintained a dominant position. By 1867, Riga's population was 42.9% German.[48] Riga employed German as its official language of administration until the installation of Russian in 1891 as the official language in the Baltic provinces, as part of the policy of Russification of the non-Russian speaking territories of the Russian Empire, including Congress Poland, Finland and the Baltics, undertaken by Tsar Alexander III. More and more Latvians started moving to the city during the mid-19th century. The rise of a Latvian bourgeoisie made Riga a centre of the Latvian National Awakening with the founding of the Riga Latvian Association in 1868 and the organisation of the first national song festival in 1873. The nationalist movement of the Neo-Latvians was followed by the socialist New Current during the city's rapid industrialisation, culminating in the 1905 Revolution led by the Latvian Social Democratic Workers' Party.
|
47 |
+
|
48 |
+
The 20th century brought World War I and the impact of the Russian Revolution of 1917 to Riga. As a result of the battle of Jugla, the German army marched into Riga on 3 September 1917.[49] On 3 March 1918, the Treaty of Brest-Litovsk was signed, giving the Baltic countries to Germany. Because of the Armistice with Germany of 11 November 1918, Germany had to renounce that treaty, as did Russia, leaving Latvia and the other Baltic States in a position to claim independence. Latvia, with Riga as its capital city, thus declared its independence on 18 November 1918.
|
49 |
+
Between World War I and World War II (1918–1940), Riga and Latvia shifted their focus from Russia to the countries of Western Europe. The United Kingdom and Germany replaced Russia as Latvia's major trade partners. The majority of the Baltic Germans were resettled in late 1939, prior to the occupation of Estonia and Latvia by the Soviet Union in June 1940.
|
50 |
+
|
51 |
+
During World War II, Latvia was occupied by the Soviet Union in June 1940 and then was occupied by Nazi Germany in 1941–1944. On 17 June 1940, the Soviet forces invaded Latvia occupying bridges, post/telephone, telegraph, and broadcasting offices. Three days later, Latvian president Karlis Ulmanis was forced to approve a pro-Soviet government which had taken office. On 14–15 July, rigged elections were held in Latvia and the other Baltic states, The ballots held the following instructions: "Only the list of the Latvian Working People's Bloc must be deposited in the ballot box. The ballot must be deposited without any changes." The alleged voter activity index was 97.6%. Most notably, the complete election results were published in Moscow 12 hours before the election closed. Soviet electoral documents found later substantiated that the results were completely fabricated. The Soviet authorities, having regained control over Riga and Latvia imposed a regime of terror, opening the headquarters of the KGB, massive deportations started. Hundreds of men were arrested, including leaders of the former Latvian government. The most notorious deportation, the June deportation took place on 13 and 14 June 1941, estimated at 15,600 men, women, and children, and including 20% of Latvia's last legal government. Similar deportations were repeated after the end of WWII. The building of the KGB located at 61 Brīvības iela, known as 'the corner house', is now a museum. Stalin's deportations also included thousands of Latvian Jews. (The mass deportation totalled 131,500 across the Baltics.) During the Nazi occupation, the Jewish community was forced into the Riga Ghetto and a Nazi concentration camp was constructed in Kaiserwald. On 25 October 1941, the Nazis relocated all Jews from Riga and the vicinity to the ghetto. Most of Latvia's Jews (about 24,000) were killed on 30 November and 8 December 1941 in the Rumbula massacre.[50] By the end of the war, the remaining Baltic Germans were expelled to Germany.
|
52 |
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|
53 |
+
The Soviet Red Army re-entered Riga on 13 October 1944. In the following years the massive influx of labourers, administrators, military personnel, and their dependents from Russia and other Soviet republics started. Microdistricts of the large multi-storied housing blocks were built to house immigrant workers.
|
54 |
+
|
55 |
+
By the end of the war, Rīga's historical centre was heavily damaged because of constant bombing. After the war, huge efforts were made to reconstruct and renovate most of the famous buildings that had been part of the skyline of the city before the war. Such buildings were, amongst others: St. Peter's Church which lost its wooden tower after a fire caused by the Wehrmacht (renovated in 1954). Another example is The House of the Blackheads, completely destroyed, its ruins were subsequently demolished. A facsimile was constructed in 1995.
|
56 |
+
|
57 |
+
In 1989, the percentage of Latvians in Riga had fallen to 36.5%.[51]
|
58 |
+
|
59 |
+
In 2004, the arrival of low-cost airlines resulted in cheaper flights from other European cities such as London and Berlin and consequently a substantial increase in numbers of tourists.[52]
|
60 |
+
|
61 |
+
In November 2013, the roof of a supermarket collapsed, possibly as a result of the weight of materials used in the construction of a garden on the roof. At least 54 people were killed. The Latvian President Andris Berzins described the disaster as "a large scale murder of many defenceless people".[53]
|
62 |
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|
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+
Riga was the European Capital of Culture in 2014.[54]
|
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+
During the Latvia's Presidency of the Council of the European Union in 2015 the 4th Eastern Partnership Summit took place in Riga.[55]
|
65 |
+
|
66 |
+
Riga's administrative divisions consist of six administrative entities: Central, Kurzeme and Northern Districts and the Latgale, Vidzeme and Zemgale Suburbs. Three entities were established on 1 September 1941, and the other three were established in October 1969.[56] There are no official lower level administrative units, but the Riga City Council Development Agency is working on a plan, which officially makes Riga consist of 58 neighbourhoods.[57] The current names were confirmed on 28 December 1990.[58]
|
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|
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+
The climate of Riga is humid continental (Köppen Dfb).[59] The coldest months are January and February, when the average temperature is −5 °C (23 °F) but temperatures as low as −20 to −25 °C (−4 to −13 °F) can be observed almost every year on the coldest days. The proximity of the sea causes frequent autumn rains and fogs. Continuous snow cover may last eighty days. The summers in Riga are mild and rainy with an average temperature of 18 °C (64 °F), while the temperature on the hottest days can exceed 30 °C (86 °F).
|
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|
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+
The head of the city government in Riga is the mayor, or officially the Chairman of the Riga City Council. Since February 2020 the office is suspended and the Council has been dissolved and replaced by an interim administration of representatives from 3 governmental ministries until snap elections are held in June 2020. The last incumbent mayor since 2019 was Oļegs Burovs from the Honor to serve Riga party.
|
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|
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+
The city council is a democratically elected institution and is the final decision-making authority in the city. The Council consists of 60 members who are elected every four years. The Presidium of the Riga City Council consists of the Chairman of the Riga City Council and the representatives delegated by the political parties or party blocks elected to the City Council.
|
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|
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With 627,487 inhabitants in 2020 as according to the Central statistical administration of Latvia,[10] Riga is the largest city in the Baltic states, though its population has decreased from just over 900,000 in 1991.[10] Notable causes include emigration and low birth rates. According to the 2017 data, ethnic Latvians made up 44.03% of the population of Riga, while ethnic Russians formed 37.88%, Belarusians 3.72%, Ukrainians 3.66%, Poles 1.83% and other ethnicities 8.10%. By comparison, 60.1% of Latvia's total population was ethnically Latvian, 26.2% Russian, 3.3% Belarusian, 2.4% Ukrainian, 2.1% Polish, 1.2% are Lithuanian and the rest of other origins.[63]
|
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|
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+
Upon the restoration of Latvia's independence in 1991, Soviet era immigrants (and any of their offspring born before 1991) were not automatically granted Latvian citizenship because they had migrated to the territory of Latvia during the years when Latvia was part of the Soviet Union. In 2013 citizens of Latvia made up 73.1%, non-citizens 21.9% and citizens of other countries 4.9% of the population of Riga.[64]
|
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+
The proportion of ethnic Latvians in Riga increased from 36.5% in 1989 to 42.4% in 2010. In contrast, the percentage of Russians fell from 47.3% to 40.7% in the same time period. Latvians overtook Russians as the largest ethnic group in 2006.[6] Further projections show that the ethnic Russian population will continue a steady decline, despite higher birth rates, due to emigration.[citation needed]
|
78 |
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|
79 |
+
Note. Population in thousands.
|
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|
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Riga is one of the key economic and financial centres of the Baltic States. Roughly half of all the jobs in Latvia are in Riga and the city generates more than 50% of Latvia's GDP as well as around half of Latvia's exports. The biggest exporters are in wood products, IT, food and beverage manufacturing, pharmaceuticals, transport and metallurgy.[65] Riga Port is one of the largest in the Baltics. It handled a record 34 million tons of cargo in 2011[66] and has potential for future growth with new port developments on Krievu Sala.[67] Tourism is also a large industry in Riga and after a slowdown during the global economic recessions of the late 2000s, grew 22% in 2011 alone.[68]
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|
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+
Bank of Latvia
|
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|
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+
Riga Stock Exchange early 20th century. Now The Art Museum Riga Bourse
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Riga hosted the biannual 2014 World Choir Games from 9–19 July 2014 which coincided with the city being named European Capital of Culture for 2014.[73][74] The event, organised by the choral foundation, Interkultur, takes place at various host cities every two years and was originally known as the "Choir Olympics".[75] The event regularly sees over 15,000 choristers in over 300 choirs from over 60 nations compete for gold, silver and bronze medals in over 20 categories. The competition is further divided into a Champions Competition and an Open Competition to allow choirs from all backgrounds to enter.[73] Choral workshops and festivals are also witnessed in the host cities and are usually open to the public.[76]
|
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+
The radio and TV tower of Riga is the tallest structure in Latvia and the Baltic States, and one of the tallest in the European Union, reaching 368.5 m (1,209 ft). Riga centre also has many great examples of Art Nouveau architecture, as well as a medieval old town.
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It is generally recognized[by whom? – Discuss] that Riga has largest[dubious – discuss] collection of Art Nouveau buildings in the world[citation needed]. This is due to the fact that at the end of the 19th and beginning of the 20th centuries, when Art Nouveau was at the height of its popularity, Riga experienced an unprecedented financial and demographic boom.[77] In the period from 1857 to 1914 its population grew from 282,000 (256,200 in Riga itself and another 26,200 inhabitants beyond the city limits in patrimonial district and military town of Ust-Dvinsk) to 558,000[better source needed] making it[when?] the 4th[dubious – discuss] largest city in the Russian Empire (after Saint Petersburg, Moscow and Warsaw) and its largest[when?] port.[77] The middle class of Riga used their acquired wealth to build imposing apartment blocks outside the former city walls. Local architects, mostly graduates of Riga Technical University, adopted current European movements and in particular Art Nouveau.[78] Between 1910 and 1913, between 300 and 500 new buildings were built each year in Riga, most[dubious – discuss] of them in Art Nouveau style and most of them outside the old town.[78]
|
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+
|
93 |
+
Riga has a rich basketball history. In the 1950s Rīgas ASK became the best club in the Soviet Union and also in Europe, winning the first three editions of the European Cup for Men's Champions Clubs from 1958 to 1960.[79]
|
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+
|
95 |
+
In 1960, ASK was not the only team from Riga to take the European crown. TTT Riga clinched their first title in the European Cup for Women's Champion Clubs, turning Riga into the capital city of European basketball because for the first and, so far, only time in the history of European basketball, clubs from the same city were concurrent European Men's and Women's club champions.[80]
|
96 |
+
|
97 |
+
In 2015, Riga was one of the hosts for EuroBasket 2015.
|
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Riga, with its central geographic position and concentration of population, has always been the infrastructural hub of Latvia. Several national roads begin in Riga, and European route E22 crosses Riga from the east and west, while the Via Baltica crosses Riga from the south and north.
|
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|
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+
As a city situated by a river, Riga also has several bridges. The oldest standing bridge is the Railway Bridge, which is also the only railroad-carrying bridge in Riga. The Stone Bridge (Akmens tilts) connects Old Riga and Pārdaugava; the Island Bridge (Salu tilts) connects Maskavas Forštate and Pārdaugava via Zaķusala; and the Shroud Bridge (Vanšu tilts) connects Old Riga and Pārdaugava via Ķīpsala. In 2008, the first stage of the new Southern Bridge (Dienvidu tilts) route across the Daugava was completed, and was opened to traffic on 17 November.[83]
|
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|
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The Southern Bridge was the biggest construction project in the Baltic states in 20 years, and its purpose was to reduce traffic congestion in the city centre.[84][85] Another major construction project is the planned Riga Northern Transport corridor;[86] its first segment detailed project was completed in 2015.[87]
|
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|
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The Freeport of Riga facilitates cargo and passenger traffic by sea. Sea ferries connect Riga Passenger Terminal to Stockholm operated by Tallink.[88]
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Riga has one active airport that serves commercial airlines—the Riga International Airport (RIX), built in 1973. Renovation and modernization of the airport was completed in 2001, coinciding with the 800th anniversary of the city. In 2006, a new terminal extension was opened. Extension of the runway was completed in October 2008, and the airport is now able to accommodate large aircraft such as the Airbus A340, Boeing 747, 757, 767 and 777. Another terminal extension is under construction as of 2014[update].[89] The annual number of passengers has grown from 310,000 in 1993 to 4.7 million in 2014, making Riga International Airport the largest in the Baltic States.
|
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|
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+
The former international airport of Riga, Spilve Airport, located 5 km (3.11 mi) from Riga city centre, is used for small aircraft, pilot training and recreational aviation. Riga was also home to a military air base during the Cold War — Rumbula Air Base.
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|
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Public transportation in the city is provided by Rīgas Satiksme which operates a large number of trams, buses and trolleybuses on an extensive network of routes across the city. In addition, up until 2012 many private owners operated minibus services, after which the City Council established the unified transport company Rīgas mikroautobusu satiksme, establishing a monopoly over the service.
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Riga is connected to the rest of Latvia by trains operated by the national carrier Passenger Train, whose headquarters are in Riga. There are also international rail services to Russia and Belarus, and plans to revive passenger rail traffic with Estonia. A TEN-T project called Rail Baltica envisages building a high-speed railway line via Riga connecting Tallinn to Warsaw using standard gauge,[90] expected to be put into operation in 2024.[91]
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Riga International Coach Terminal provides domestic and international connections by coach.
|
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Riga is twinned with:[92]
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A rhyme is a repetition of similar sounds (usually, exactly the same sound) in the final stressed syllables and any following syllables of two or more words. Most often, this kind of perfect rhyming is consciously used for effect in the final positions of lines of poems and songs.[1] More broadly, a rhyme may also variously refer to other types of similar sounds near the ends of two or more words. Furthermore, the word rhyme has come to be sometimes used as a shorthand term for any brief poem, such as a rhyming couplet or nursery rhyme.
|
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|
3 |
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The word derives from Old French rime or ryme, which might be derived from Old Frankish rīm, a Germanic term meaning "series, sequence" attested in Old English (Old English rīm meaning "enumeration, series, numeral") and Old High German rīm, ultimately cognate to Old Irish rím, Greek ἀριθμός arithmos "number". Alternatively, the Old French words may derive from Latin rhythmus, from Greek ῥυθμός (rhythmos, rhythm).[2][3]
|
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|
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The spelling rhyme (from original rime) was introduced at the beginning of the Modern English period from a learned (but perhaps etymologically incorrect) association with Latin rhythmus.[2] The older spelling rime survives in Modern English as a rare alternative spelling; cf. The Rime of the Ancient Mariner. A distinction between the spellings is also sometimes made in the study of linguistics and phonology for which rime/rhyme is used to refer to the nucleus and coda of a syllable. Some prefer to spell it rime to separate it from the poetic rhyme covered by this article (see syllable rime).
|
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|
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Rhyme partly seems to be enjoyed simply as a repeating pattern that is pleasant to hear. It also serves as a powerful mnemonic device, facilitating memorization. The regular use of tail rhyme helps to mark off the ends of lines, thus clarifying the metrical structure for the listener. As with other poetic techniques, poets use it to suit their own purposes; for example William Shakespeare often used a rhyming couplet to mark off the end of a scene in a play.
|
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|
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The word rhyme can be used in a specific and a general sense. In the specific sense, two words rhyme if their final stressed vowel and all following sounds are identical; two lines of poetry rhyme if their final strong positions are filled with rhyming words. A rhyme in the strict sense is also called a perfect rhyme. Examples are sight and flight, deign and gain, madness and sadness, love and dove.
|
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|
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+
Perfect rhymes can be classified according to the number of syllables included in the rhyme, which is dictated by the location of the final stressed syllable.
|
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|
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+
In the general sense, general rhyme can refer to various kinds of phonetic similarity between words, and to the use of such similar-sounding words in organizing verse. Rhymes in this general sense are classified according to the degree and manner of the phonetic similarity:
|
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|
15 |
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Identical rhymes are considered less than perfect in English poetry; but are valued more highly in other literatures such as, for example, rime riche in French poetry.
|
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|
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+
Though homophones and homonyms satisfy the first condition for rhyming—that is, that the stressed vowel sound is the same—they do not satisfy the second: that the preceding consonant be different. As stated above, in a perfect rhyme the last stressed vowel and all following sounds are identical in both words.
|
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|
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+
If the sound preceding the stressed vowel is also identical, the rhyme is sometimes considered to be inferior and not a perfect rhyme after all.[4][5] An example of such a super-rhyme or "more than perfect rhyme" is the identical rhyme, in which not only the vowels but also the onsets of the rhyming syllables are identical, as in gun and begun. Punning rhymes, such as bare and bear are also identical rhymes. The rhyme may extend even farther back than the last stressed vowel. If it extends all the way to the beginning of the line, so that there are two lines that sound very similar or identical, it is called a holorhyme ("For I scream/For ice cream").
|
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21 |
+
In poetics these would be considered identity, rather than rhyme.
|
22 |
+
|
23 |
+
Eye rhymes or sight rhymes or spelling rhymes refer to similarity in spelling but not in sound where the final sounds are spelled identically but pronounced differently.[6] Examples in English are cough, bough, and love, move.
|
24 |
+
|
25 |
+
Some early written poetry appears to contain these, but in many cases the words used rhymed at the time of writing, and subsequent changes in pronunciation have meant that the rhyme is now lost.
|
26 |
+
|
27 |
+
Mind rhyme is a kind of substitution rhyme similar to rhyming slang, but it is less generally codified and is “heard” only when generated by a specific verse context. For instance, “this sugar is neat / and tastes so sour.” If a reader or listener thinks of the word “sweet” instead of “sour,” a mind rhyme has occurred.
|
28 |
+
|
29 |
+
Rhymes may be classified according to their position in the verse:
|
30 |
+
|
31 |
+
A rhyme scheme is the pattern of rhyming lines in a poem.
|
32 |
+
|
33 |
+
In many languages, including modern European languages and Arabic, poets use rhyme in set patterns as a structural element for specific poetic forms, such as ballads, sonnets and rhyming couplets. Some rhyming schemes have become associated with a specific language, culture or period, while other rhyming schemes have achieved use across languages, cultures or time periods. However, the use of structural rhyme is not universal even within the European tradition. Much modern poetry avoids traditional rhyme schemes.
|
34 |
+
|
35 |
+
The earliest surviving evidence of rhyming is the Chinese Shi Jing (ca. 10th century BC). Rhyme is also occasionally used in the Bible.[7] Classical Greek and Latin poetry did not usually rhyme,[8] but rhyme was used very occasionally. For instance, Catullus includes partial rhymes in the poem Cui dono lepidum novum libellum.[9] The ancient Greeks knew rhyme, and rhymes in The Wasps by Aristophanes are noted by a translator.[10]
|
36 |
+
|
37 |
+
Rhyme is central to classical Arabic poetry tracing back to its 6th century pre-Islamic roots. According to some archaic sources, Irish literature introduced the rhyme to Early Medieval Europe, but that is a disputed claim.[11] In the 7th century, the Irish had brought the art of rhyming verses to a high pitch of perfection. The leonine verse is notable for introducing rhyme into High Medieval literature in the 12th century.
|
38 |
+
|
39 |
+
Rhyme entered European poetry in the High Middle Ages, in part under the influence of the Arabic language in Al Andalus (modern Spain).[12] Arabic language poets used rhyme extensively from the first development of literary Arabic in the sixth century, as in their long, rhyming qasidas.[13]
|
40 |
+
|
41 |
+
Since dialects vary and languages change over time, lines that rhyme in a given register or era may not rhyme in another, and it may not be clear whether one should pronounce the words so that they rhyme. An example is this couplet from Handel's Judas Maccabaeus:
|
42 |
+
|
43 |
+
Rhyming in the Celtic Languages takes a drastically different course from most other Western rhyming schemes despite strong contact with the Romance and English patterns. Even today, despite extensive interaction with English and French culture, Celtic rhyme continues to demonstrate native characteristics. Brian Ó Cuív sets out the rules of rhyme in Irish poetry of the classical period: the last stressed vowel and any subsequent long vowels must be identical in order for two words to rhyme. Consonants are grouped into six classes for the purpose of rhyme: they need not be identical, but must belong to the same class. Thus 'b' and 'd' can rhyme (both being 'voiced plosives'), as can 'bh' and 'l' (which are both 'voiced continuants') but 'l', a 'voiced continuant', cannot rhyme with 'ph', a 'voiceless continuant'. Furthermore, "for perfect rhyme a palatalized consonant may be balanced only by a palatalized consonant and a velarized consonant by a velarized one."[15] In the post-Classical period, these rules fell into desuetude, and in popular verse simple assonance often suffices, as can be seen in an example of Irish Gaelic rhyme from the traditional song Bríd Óg Ní Mháille:
|
44 |
+
|
45 |
+
Is a Bhríd Óg Ní Mháille
|
46 |
+
[is ə vrʲiːdʲ oːɡ nʲiː wɒːlʲə]
|
47 |
+
'S tú d'fhág mo chroí cráite
|
48 |
+
[stuː dɒːɡ mə xriː krɒːtʲə]
|
49 |
+
|
50 |
+
Oh young Bridget O'Malley
|
51 |
+
|
52 |
+
You have left my heart breaking
|
53 |
+
|
54 |
+
Here the vowels are the same, but the consonants, although both palatalized, do not fall into the same class in the bardic rhyming scheme.
|
55 |
+
|
56 |
+
Besides the vowel/consonant aspect of rhyming, Chinese rhymes often include tone quality (that is, tonal contour) as an integral linguistic factor in determining rhyme.
|
57 |
+
|
58 |
+
Use of rhyme in Classical Chinese poetry typically but not always appears in the form of paired couplets, with end-rhyming in the final syllable of each couplet.
|
59 |
+
|
60 |
+
Another important aspect of rhyme in regard to Chinese language studies is the study or reconstruction of past varieties of Chinese, such as Middle Chinese.
|
61 |
+
|
62 |
+
Old English poetry is mostly alliterative verse. One of the earliest rhyming poems in English is The Rhyming Poem.
|
63 |
+
|
64 |
+
As stress is important in English, lexical stress is one of the factors that affects the similarity of sounds for the perception of rhyme. Perfect rhyme can be defined as the case when two words rhyme if their final stressed vowel and all following sounds are identical.[6]
|
65 |
+
|
66 |
+
Some words in English, such as "orange" and "silver", are commonly regarded as having no rhyme. Although a clever writer can get around this (for example, by obliquely rhyming "orange" with combinations of words like "door hinge" or with lesser-known words like "Blorenge" – a hill in Wales – or the surname Gorringe), it is generally easier to move the word out of rhyming position or replace it with a synonym ("orange" could become "amber", while "silver" could become a combination of "bright and argent").A skilled orator might be able to tweak the pronunciation of certain words to facilitate a stronger rhyme (for example, pronouncing 'orange' as 'oringe' to rhyme with 'door hinge')
|
67 |
+
|
68 |
+
One view of rhyme in English is from John Milton's preface to Paradise Lost:
|
69 |
+
|
70 |
+
The Measure is English Heroic Verse without Rime, as that of Homer in Greek, and of Virgil in Latin; Rime being no necessary Adjunct or true Ornament of Poem or good Verse, in longer Works especially, but the Invention of a barbarous Age, to set off wretched matter and lame Meeter; grac't indeed since by the use of some famous modern Poets, carried away by Custom...
|
71 |
+
|
72 |
+
A more tempered view is taken by W. H. Auden in The Dyer's Hand:
|
73 |
+
|
74 |
+
Rhymes, meters, stanza forms, etc., are like servants. If the master is fair enough to win their affection and firm enough to command their respect, the result is an orderly happy household. If he is too tyrannical, they give notice; if he lacks authority, they become slovenly, impertinent, drunk and dishonest.
|
75 |
+
|
76 |
+
Forced or clumsy rhyme is often a key ingredient of doggerel.
|
77 |
+
|
78 |
+
In French poetry, unlike in English, it is common to have identical rhymes, in which not only the vowels of the final syllables of the lines rhyme, but their onset consonants ("consonnes d'appui") as well. To the ear of someone accustomed to English verse, this often sounds like a very weak rhyme. For example, an English perfect rhyme of homophones, flour and flower, would seem weak, whereas a French rhyme of homophones doigt ("finger") and doit ("must") or point ("point") and point ("not") is not only acceptable but quite common.
|
79 |
+
|
80 |
+
Rhymes are sometimes classified into the categories of "rime pauvre" ("poor rhyme"), "rime suffisante" ("sufficient rhyme"), "rime riche" ("rich rhyme") and "rime richissime" ("very rich rhyme"), according to the number of rhyming sounds in the two words or in the parts of the two verses. For example, to rhyme "tu" with "vu" would be a poor rhyme (the words have only the vowel in common), to rhyme "pas" with "bras" a sufficient rhyme (with the vowel and the silent consonant in common), and "tante" with "attente" a rich rhyme (with the vowel, the onset consonant, and the coda consonant with its mute "e" in common). Authorities disagree, however, on exactly where to place the boundaries between the categories.
|
81 |
+
|
82 |
+
Holorime is an extreme example of rime richissime spanning an entire verse. Alphonse Allais was a notable exponent of holorime. Here is an example of a holorime couplet from Marc Monnier:
|
83 |
+
|
84 |
+
Gall, amant de la Reine, alla (tour magnanime)
|
85 |
+
Galamment de l'Arène à la Tour Magne, à Nîmes.
|
86 |
+
|
87 |
+
Gallus, the Queen's lover, went (a magnanimous gesture)
|
88 |
+
Gallantly from the Arena to the Great Tower, at Nîmes.
|
89 |
+
|
90 |
+
Classical French rhyme not only differs from English rhyme in its different treatment of onset consonants. It also treats coda consonants in a distinctive way.
|
91 |
+
|
92 |
+
French spelling includes several final letters that are no longer pronounced, and that in many cases have never been pronounced. Such final unpronounced letters continue to affect rhyme according to the rules of Classical French versification. They are encountered in almost all of the pre-20th-century French verse texts, but these rhyming rules are almost never taken into account from the 20th century.
|
93 |
+
|
94 |
+
The most important "silent" letter is the "mute e". In spoken French today, final "e" is, in some regional accents (in Paris for example), omitted after consonants; but in Classical French prosody, it was considered an integral part of the rhyme even when following the vowel. "Joue" could rhyme with "boue", but not with "trou". Rhyming words ending with this silent "e" were said to make up a "double rhyme", while words not ending with this silent "e" made up a "single rhyme". It was a principle of stanza-formation that single and double rhymes had to alternate in the stanza. Virtually all 17th-century French plays in verse alternate masculine and feminine Alexandrin couplets.
|
95 |
+
|
96 |
+
The now-silent final consonants present a more complex case. They, too, were traditionally an integral part of the rhyme, such that "pont" rhymed with "vont" but not with "long"; but spelling and pronunciation did not coincide exactly—"pont" also rhymed with "rond". There are a few rules that govern most word-final consonants in archaic French pronunciation:
|
97 |
+
|
98 |
+
Because German phonology features a wide array of vowel sounds, certain imperfect rhymes are widely admitted in German poetry. These include rhyming "e" with "ä" and "ö", rhyming "i" with "ü", rhyming "ei" with "eu" (spelled "äu" in some words) and rhyming a long vowel with its short counterpart.
|
99 |
+
|
100 |
+
Some examples of imperfect rhymes (all from Friedrich Schiller's "An die Freude"):
|
101 |
+
|
102 |
+
Ancient Greek poetry is strictly metrical. Rhyme is used, if at all, only as an occasional rhetorical flourish.
|
103 |
+
|
104 |
+
The first Greek to write rhyming poetry was the fourteenth-century Cretan Stephanos Sachlikis. Rhyme is now a common fixture of Greek poetry.
|
105 |
+
|
106 |
+
Ancient Hebrew rarely employed rhyme, e.g. in Exodus 29 35: ועשית לאהרן ולבניו כָּכה, ככל אשר צויתי אֹתָכה (the identical part in both rhyming words being / 'axa/ ). Rhyme became a permanent - even obligatory - feature of poetry in Hebrew language, around the 4th century CE. It is found in the Jewish liturgical poetry written in the Byzantine empire era. This was realized by scholars only recently, thanks to the thousands of piyyuts that have been discovered in the Cairo Geniza. It is assumed that the principle of rhyme was transferred from Hebrew liturgical poetry to the poetry of the Syriac Christianity (written in Aramaic), and through this mediation introduced into Latin poetry and then into all other languages of Europe.[16]
|
107 |
+
|
108 |
+
In Latin rhetoric and poetry homeoteleuton and alliteration were frequently used devices.
|
109 |
+
|
110 |
+
Tail rhyme was occasionally used, as in this piece of poetry by Cicero:
|
111 |
+
|
112 |
+
O Fortunatam natam me consule Romam.
|
113 |
+
|
114 |
+
O fortunate Rome, to be born with me consul
|
115 |
+
|
116 |
+
But tail rhyme was not used as a prominent structural feature of Latin poetry until it was introduced under the influence of local vernacular traditions in the early Middle Ages. This is the Latin hymn Dies Irae:
|
117 |
+
|
118 |
+
Dies irae, dies illa
|
119 |
+
Solvet saeclum in favilla
|
120 |
+
Teste David cum Sybilla
|
121 |
+
|
122 |
+
The day of wrath, that day
|
123 |
+
which will reduce the world to ashes,
|
124 |
+
as foretold by David and the Sybil.
|
125 |
+
|
126 |
+
Medieval poetry may mix Latin and vernacular languages. Mixing languages in verse or rhyming words in different languages is termed macaronic.
|
127 |
+
|
128 |
+
Portuguese classifies rhymes in the following manner:
|
129 |
+
|
130 |
+
Rhyme was introduced into Russian poetry in the 18th century. Folk poetry had generally been unrhymed, relying more on dactylic line endings for effect. Two words ending in an accented vowel are only considered to rhyme if they share a preceding consonant. Vowel pairs rhyme—even though non-Russian speakers may not perceive them as the same sound. Consonant pairs rhyme if both are devoiced. As in French, formal poetry traditionally alternates between masculine and feminine rhymes.
|
131 |
+
|
132 |
+
Early 18th-century poetry demanded perfect rhymes that were also grammatical rhymes—namely that noun endings rhymed with noun endings, verb endings with verb endings, and so on. Such rhymes relying on morphological endings become much rarer in modern Russian poetry, and greater use is made of approximate rhymes.[17]
|
133 |
+
|
134 |
+
Spanish mainly differentiates two types of rhymes:
|
135 |
+
|
136 |
+
Spanish rhyme is also classified by stress type since different types cannot rhyme with each other:
|
137 |
+
|
138 |
+
In Polish literature rhyme was used from the beginning. Unrhymed verse was never popular, although it was sometimes imitated from Latin. Homer's, Virgil's and even Milton's epic poems were furnished with rhymes by Polish translators.[18] Because of paroxytonic accentuation in Polish, feminine rhymes always prevailed. Rules of Polish rhyme were established in 16th century. Then only feminine rhymes were allowed in syllabic verse system. Together with introducing syllabo-accentual metres, masculine rhymes began to occur in Polish poetry. They were most popular at the end of 19th century. The most frequent rhyme scheme in Old Polish (16th - 18th centuries) was couplet AABBCCDD..., but Polish poets, having perfect knowledge of Italian language and literature, experimented with other schemes, among others ottava rima (ABABABCC) and sonnet (ABBA ABBA CDC DCD or ABBA ABBA CDCD EE).
|
139 |
+
|
140 |
+
Wpłynąłem na suchego przestwór oceanu,
|
141 |
+
Wóz nurza się w zieloność i jak łódka brodzi,
|
142 |
+
Śród fali łąk szumiących, śród kwiatów powodzi,
|
143 |
+
Omijam koralowe ostrowy burzanu.
|
144 |
+
|
145 |
+
Across sea-meadows measureless I go,
|
146 |
+
My wagon sinking under grass so tall
|
147 |
+
The flowery petals in foam on me fall,
|
148 |
+
And blossom-isles float by I do not know.[19]
|
149 |
+
|
150 |
+
The metre of Mickiewicz's sonnet is the Polish alexandrine (tridecasyllable, in Polish "trzynastozgłoskowiec"): 13(7+6) and its rhymes are feminine: [anu] and [odzi].
|
151 |
+
|
152 |
+
Rhymes were widely spread in the Arabian peninsula around the 6th century, in letters, poems and songs, as well as long, rhyming qasidas.[13] In addition, the Quran uses a form of rhymed prose named saj'.
|
153 |
+
|
154 |
+
Patterns of rich rhyme (prāsa) play a role in modern Sanskrit poetry, but only to a minor extent in historical Sanskrit texts. They are classified according to their position within the pada (metrical foot): ādiprāsa (first syllable), dvitīyākṣara prāsa (second syllable), antyaprāsa (final syllable) etc.
|
155 |
+
|
156 |
+
There are some unique rhyming schemes in Dravidian languages like Tamil. Specifically, the rhyme called etukai (anaphora) occurs on the second consonant of each line.
|
157 |
+
|
158 |
+
The other rhyme and related patterns are called mōnai (alliteration), toṭai (epiphora) and iraṭṭai kiḷavi (parallelism).
|
159 |
+
|
160 |
+
Some classical Tamil poetry forms, such as veṇpā, have rigid grammars for rhyme to the point that they could be expressed as a context-free grammar.
|
161 |
+
|
162 |
+
Rhymes are used in Vietnamese to produce similes. The following is an example of a Rhyming Simile:
|
163 |
+
|
164 |
+
Nghèo như con mèo
|
165 |
+
/ŋɛu ɲɯ kɔn mɛu/
|
166 |
+
"Poor as a cat"
|
167 |
+
|
168 |
+
Compare the above Vietnamese example, which is a rhyming simile, to the English phrase "(as) poor as a church mouse", which is only a semantic simile.[20]
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1 |
+
A rhyme is a repetition of similar sounds (usually, exactly the same sound) in the final stressed syllables and any following syllables of two or more words. Most often, this kind of perfect rhyming is consciously used for effect in the final positions of lines of poems and songs.[1] More broadly, a rhyme may also variously refer to other types of similar sounds near the ends of two or more words. Furthermore, the word rhyme has come to be sometimes used as a shorthand term for any brief poem, such as a rhyming couplet or nursery rhyme.
|
2 |
+
|
3 |
+
The word derives from Old French rime or ryme, which might be derived from Old Frankish rīm, a Germanic term meaning "series, sequence" attested in Old English (Old English rīm meaning "enumeration, series, numeral") and Old High German rīm, ultimately cognate to Old Irish rím, Greek ἀριθμός arithmos "number". Alternatively, the Old French words may derive from Latin rhythmus, from Greek ῥυθμός (rhythmos, rhythm).[2][3]
|
4 |
+
|
5 |
+
The spelling rhyme (from original rime) was introduced at the beginning of the Modern English period from a learned (but perhaps etymologically incorrect) association with Latin rhythmus.[2] The older spelling rime survives in Modern English as a rare alternative spelling; cf. The Rime of the Ancient Mariner. A distinction between the spellings is also sometimes made in the study of linguistics and phonology for which rime/rhyme is used to refer to the nucleus and coda of a syllable. Some prefer to spell it rime to separate it from the poetic rhyme covered by this article (see syllable rime).
|
6 |
+
|
7 |
+
Rhyme partly seems to be enjoyed simply as a repeating pattern that is pleasant to hear. It also serves as a powerful mnemonic device, facilitating memorization. The regular use of tail rhyme helps to mark off the ends of lines, thus clarifying the metrical structure for the listener. As with other poetic techniques, poets use it to suit their own purposes; for example William Shakespeare often used a rhyming couplet to mark off the end of a scene in a play.
|
8 |
+
|
9 |
+
The word rhyme can be used in a specific and a general sense. In the specific sense, two words rhyme if their final stressed vowel and all following sounds are identical; two lines of poetry rhyme if their final strong positions are filled with rhyming words. A rhyme in the strict sense is also called a perfect rhyme. Examples are sight and flight, deign and gain, madness and sadness, love and dove.
|
10 |
+
|
11 |
+
Perfect rhymes can be classified according to the number of syllables included in the rhyme, which is dictated by the location of the final stressed syllable.
|
12 |
+
|
13 |
+
In the general sense, general rhyme can refer to various kinds of phonetic similarity between words, and to the use of such similar-sounding words in organizing verse. Rhymes in this general sense are classified according to the degree and manner of the phonetic similarity:
|
14 |
+
|
15 |
+
Identical rhymes are considered less than perfect in English poetry; but are valued more highly in other literatures such as, for example, rime riche in French poetry.
|
16 |
+
|
17 |
+
Though homophones and homonyms satisfy the first condition for rhyming—that is, that the stressed vowel sound is the same—they do not satisfy the second: that the preceding consonant be different. As stated above, in a perfect rhyme the last stressed vowel and all following sounds are identical in both words.
|
18 |
+
|
19 |
+
If the sound preceding the stressed vowel is also identical, the rhyme is sometimes considered to be inferior and not a perfect rhyme after all.[4][5] An example of such a super-rhyme or "more than perfect rhyme" is the identical rhyme, in which not only the vowels but also the onsets of the rhyming syllables are identical, as in gun and begun. Punning rhymes, such as bare and bear are also identical rhymes. The rhyme may extend even farther back than the last stressed vowel. If it extends all the way to the beginning of the line, so that there are two lines that sound very similar or identical, it is called a holorhyme ("For I scream/For ice cream").
|
20 |
+
|
21 |
+
In poetics these would be considered identity, rather than rhyme.
|
22 |
+
|
23 |
+
Eye rhymes or sight rhymes or spelling rhymes refer to similarity in spelling but not in sound where the final sounds are spelled identically but pronounced differently.[6] Examples in English are cough, bough, and love, move.
|
24 |
+
|
25 |
+
Some early written poetry appears to contain these, but in many cases the words used rhymed at the time of writing, and subsequent changes in pronunciation have meant that the rhyme is now lost.
|
26 |
+
|
27 |
+
Mind rhyme is a kind of substitution rhyme similar to rhyming slang, but it is less generally codified and is “heard” only when generated by a specific verse context. For instance, “this sugar is neat / and tastes so sour.” If a reader or listener thinks of the word “sweet” instead of “sour,” a mind rhyme has occurred.
|
28 |
+
|
29 |
+
Rhymes may be classified according to their position in the verse:
|
30 |
+
|
31 |
+
A rhyme scheme is the pattern of rhyming lines in a poem.
|
32 |
+
|
33 |
+
In many languages, including modern European languages and Arabic, poets use rhyme in set patterns as a structural element for specific poetic forms, such as ballads, sonnets and rhyming couplets. Some rhyming schemes have become associated with a specific language, culture or period, while other rhyming schemes have achieved use across languages, cultures or time periods. However, the use of structural rhyme is not universal even within the European tradition. Much modern poetry avoids traditional rhyme schemes.
|
34 |
+
|
35 |
+
The earliest surviving evidence of rhyming is the Chinese Shi Jing (ca. 10th century BC). Rhyme is also occasionally used in the Bible.[7] Classical Greek and Latin poetry did not usually rhyme,[8] but rhyme was used very occasionally. For instance, Catullus includes partial rhymes in the poem Cui dono lepidum novum libellum.[9] The ancient Greeks knew rhyme, and rhymes in The Wasps by Aristophanes are noted by a translator.[10]
|
36 |
+
|
37 |
+
Rhyme is central to classical Arabic poetry tracing back to its 6th century pre-Islamic roots. According to some archaic sources, Irish literature introduced the rhyme to Early Medieval Europe, but that is a disputed claim.[11] In the 7th century, the Irish had brought the art of rhyming verses to a high pitch of perfection. The leonine verse is notable for introducing rhyme into High Medieval literature in the 12th century.
|
38 |
+
|
39 |
+
Rhyme entered European poetry in the High Middle Ages, in part under the influence of the Arabic language in Al Andalus (modern Spain).[12] Arabic language poets used rhyme extensively from the first development of literary Arabic in the sixth century, as in their long, rhyming qasidas.[13]
|
40 |
+
|
41 |
+
Since dialects vary and languages change over time, lines that rhyme in a given register or era may not rhyme in another, and it may not be clear whether one should pronounce the words so that they rhyme. An example is this couplet from Handel's Judas Maccabaeus:
|
42 |
+
|
43 |
+
Rhyming in the Celtic Languages takes a drastically different course from most other Western rhyming schemes despite strong contact with the Romance and English patterns. Even today, despite extensive interaction with English and French culture, Celtic rhyme continues to demonstrate native characteristics. Brian Ó Cuív sets out the rules of rhyme in Irish poetry of the classical period: the last stressed vowel and any subsequent long vowels must be identical in order for two words to rhyme. Consonants are grouped into six classes for the purpose of rhyme: they need not be identical, but must belong to the same class. Thus 'b' and 'd' can rhyme (both being 'voiced plosives'), as can 'bh' and 'l' (which are both 'voiced continuants') but 'l', a 'voiced continuant', cannot rhyme with 'ph', a 'voiceless continuant'. Furthermore, "for perfect rhyme a palatalized consonant may be balanced only by a palatalized consonant and a velarized consonant by a velarized one."[15] In the post-Classical period, these rules fell into desuetude, and in popular verse simple assonance often suffices, as can be seen in an example of Irish Gaelic rhyme from the traditional song Bríd Óg Ní Mháille:
|
44 |
+
|
45 |
+
Is a Bhríd Óg Ní Mháille
|
46 |
+
[is ə vrʲiːdʲ oːɡ nʲiː wɒːlʲə]
|
47 |
+
'S tú d'fhág mo chroí cráite
|
48 |
+
[stuː dɒːɡ mə xriː krɒːtʲə]
|
49 |
+
|
50 |
+
Oh young Bridget O'Malley
|
51 |
+
|
52 |
+
You have left my heart breaking
|
53 |
+
|
54 |
+
Here the vowels are the same, but the consonants, although both palatalized, do not fall into the same class in the bardic rhyming scheme.
|
55 |
+
|
56 |
+
Besides the vowel/consonant aspect of rhyming, Chinese rhymes often include tone quality (that is, tonal contour) as an integral linguistic factor in determining rhyme.
|
57 |
+
|
58 |
+
Use of rhyme in Classical Chinese poetry typically but not always appears in the form of paired couplets, with end-rhyming in the final syllable of each couplet.
|
59 |
+
|
60 |
+
Another important aspect of rhyme in regard to Chinese language studies is the study or reconstruction of past varieties of Chinese, such as Middle Chinese.
|
61 |
+
|
62 |
+
Old English poetry is mostly alliterative verse. One of the earliest rhyming poems in English is The Rhyming Poem.
|
63 |
+
|
64 |
+
As stress is important in English, lexical stress is one of the factors that affects the similarity of sounds for the perception of rhyme. Perfect rhyme can be defined as the case when two words rhyme if their final stressed vowel and all following sounds are identical.[6]
|
65 |
+
|
66 |
+
Some words in English, such as "orange" and "silver", are commonly regarded as having no rhyme. Although a clever writer can get around this (for example, by obliquely rhyming "orange" with combinations of words like "door hinge" or with lesser-known words like "Blorenge" – a hill in Wales – or the surname Gorringe), it is generally easier to move the word out of rhyming position or replace it with a synonym ("orange" could become "amber", while "silver" could become a combination of "bright and argent").A skilled orator might be able to tweak the pronunciation of certain words to facilitate a stronger rhyme (for example, pronouncing 'orange' as 'oringe' to rhyme with 'door hinge')
|
67 |
+
|
68 |
+
One view of rhyme in English is from John Milton's preface to Paradise Lost:
|
69 |
+
|
70 |
+
The Measure is English Heroic Verse without Rime, as that of Homer in Greek, and of Virgil in Latin; Rime being no necessary Adjunct or true Ornament of Poem or good Verse, in longer Works especially, but the Invention of a barbarous Age, to set off wretched matter and lame Meeter; grac't indeed since by the use of some famous modern Poets, carried away by Custom...
|
71 |
+
|
72 |
+
A more tempered view is taken by W. H. Auden in The Dyer's Hand:
|
73 |
+
|
74 |
+
Rhymes, meters, stanza forms, etc., are like servants. If the master is fair enough to win their affection and firm enough to command their respect, the result is an orderly happy household. If he is too tyrannical, they give notice; if he lacks authority, they become slovenly, impertinent, drunk and dishonest.
|
75 |
+
|
76 |
+
Forced or clumsy rhyme is often a key ingredient of doggerel.
|
77 |
+
|
78 |
+
In French poetry, unlike in English, it is common to have identical rhymes, in which not only the vowels of the final syllables of the lines rhyme, but their onset consonants ("consonnes d'appui") as well. To the ear of someone accustomed to English verse, this often sounds like a very weak rhyme. For example, an English perfect rhyme of homophones, flour and flower, would seem weak, whereas a French rhyme of homophones doigt ("finger") and doit ("must") or point ("point") and point ("not") is not only acceptable but quite common.
|
79 |
+
|
80 |
+
Rhymes are sometimes classified into the categories of "rime pauvre" ("poor rhyme"), "rime suffisante" ("sufficient rhyme"), "rime riche" ("rich rhyme") and "rime richissime" ("very rich rhyme"), according to the number of rhyming sounds in the two words or in the parts of the two verses. For example, to rhyme "tu" with "vu" would be a poor rhyme (the words have only the vowel in common), to rhyme "pas" with "bras" a sufficient rhyme (with the vowel and the silent consonant in common), and "tante" with "attente" a rich rhyme (with the vowel, the onset consonant, and the coda consonant with its mute "e" in common). Authorities disagree, however, on exactly where to place the boundaries between the categories.
|
81 |
+
|
82 |
+
Holorime is an extreme example of rime richissime spanning an entire verse. Alphonse Allais was a notable exponent of holorime. Here is an example of a holorime couplet from Marc Monnier:
|
83 |
+
|
84 |
+
Gall, amant de la Reine, alla (tour magnanime)
|
85 |
+
Galamment de l'Arène à la Tour Magne, à Nîmes.
|
86 |
+
|
87 |
+
Gallus, the Queen's lover, went (a magnanimous gesture)
|
88 |
+
Gallantly from the Arena to the Great Tower, at Nîmes.
|
89 |
+
|
90 |
+
Classical French rhyme not only differs from English rhyme in its different treatment of onset consonants. It also treats coda consonants in a distinctive way.
|
91 |
+
|
92 |
+
French spelling includes several final letters that are no longer pronounced, and that in many cases have never been pronounced. Such final unpronounced letters continue to affect rhyme according to the rules of Classical French versification. They are encountered in almost all of the pre-20th-century French verse texts, but these rhyming rules are almost never taken into account from the 20th century.
|
93 |
+
|
94 |
+
The most important "silent" letter is the "mute e". In spoken French today, final "e" is, in some regional accents (in Paris for example), omitted after consonants; but in Classical French prosody, it was considered an integral part of the rhyme even when following the vowel. "Joue" could rhyme with "boue", but not with "trou". Rhyming words ending with this silent "e" were said to make up a "double rhyme", while words not ending with this silent "e" made up a "single rhyme". It was a principle of stanza-formation that single and double rhymes had to alternate in the stanza. Virtually all 17th-century French plays in verse alternate masculine and feminine Alexandrin couplets.
|
95 |
+
|
96 |
+
The now-silent final consonants present a more complex case. They, too, were traditionally an integral part of the rhyme, such that "pont" rhymed with "vont" but not with "long"; but spelling and pronunciation did not coincide exactly—"pont" also rhymed with "rond". There are a few rules that govern most word-final consonants in archaic French pronunciation:
|
97 |
+
|
98 |
+
Because German phonology features a wide array of vowel sounds, certain imperfect rhymes are widely admitted in German poetry. These include rhyming "e" with "ä" and "ö", rhyming "i" with "ü", rhyming "ei" with "eu" (spelled "äu" in some words) and rhyming a long vowel with its short counterpart.
|
99 |
+
|
100 |
+
Some examples of imperfect rhymes (all from Friedrich Schiller's "An die Freude"):
|
101 |
+
|
102 |
+
Ancient Greek poetry is strictly metrical. Rhyme is used, if at all, only as an occasional rhetorical flourish.
|
103 |
+
|
104 |
+
The first Greek to write rhyming poetry was the fourteenth-century Cretan Stephanos Sachlikis. Rhyme is now a common fixture of Greek poetry.
|
105 |
+
|
106 |
+
Ancient Hebrew rarely employed rhyme, e.g. in Exodus 29 35: ועשית לאהרן ולבניו כָּכה, ככל אשר צויתי אֹתָכה (the identical part in both rhyming words being / 'axa/ ). Rhyme became a permanent - even obligatory - feature of poetry in Hebrew language, around the 4th century CE. It is found in the Jewish liturgical poetry written in the Byzantine empire era. This was realized by scholars only recently, thanks to the thousands of piyyuts that have been discovered in the Cairo Geniza. It is assumed that the principle of rhyme was transferred from Hebrew liturgical poetry to the poetry of the Syriac Christianity (written in Aramaic), and through this mediation introduced into Latin poetry and then into all other languages of Europe.[16]
|
107 |
+
|
108 |
+
In Latin rhetoric and poetry homeoteleuton and alliteration were frequently used devices.
|
109 |
+
|
110 |
+
Tail rhyme was occasionally used, as in this piece of poetry by Cicero:
|
111 |
+
|
112 |
+
O Fortunatam natam me consule Romam.
|
113 |
+
|
114 |
+
O fortunate Rome, to be born with me consul
|
115 |
+
|
116 |
+
But tail rhyme was not used as a prominent structural feature of Latin poetry until it was introduced under the influence of local vernacular traditions in the early Middle Ages. This is the Latin hymn Dies Irae:
|
117 |
+
|
118 |
+
Dies irae, dies illa
|
119 |
+
Solvet saeclum in favilla
|
120 |
+
Teste David cum Sybilla
|
121 |
+
|
122 |
+
The day of wrath, that day
|
123 |
+
which will reduce the world to ashes,
|
124 |
+
as foretold by David and the Sybil.
|
125 |
+
|
126 |
+
Medieval poetry may mix Latin and vernacular languages. Mixing languages in verse or rhyming words in different languages is termed macaronic.
|
127 |
+
|
128 |
+
Portuguese classifies rhymes in the following manner:
|
129 |
+
|
130 |
+
Rhyme was introduced into Russian poetry in the 18th century. Folk poetry had generally been unrhymed, relying more on dactylic line endings for effect. Two words ending in an accented vowel are only considered to rhyme if they share a preceding consonant. Vowel pairs rhyme—even though non-Russian speakers may not perceive them as the same sound. Consonant pairs rhyme if both are devoiced. As in French, formal poetry traditionally alternates between masculine and feminine rhymes.
|
131 |
+
|
132 |
+
Early 18th-century poetry demanded perfect rhymes that were also grammatical rhymes—namely that noun endings rhymed with noun endings, verb endings with verb endings, and so on. Such rhymes relying on morphological endings become much rarer in modern Russian poetry, and greater use is made of approximate rhymes.[17]
|
133 |
+
|
134 |
+
Spanish mainly differentiates two types of rhymes:
|
135 |
+
|
136 |
+
Spanish rhyme is also classified by stress type since different types cannot rhyme with each other:
|
137 |
+
|
138 |
+
In Polish literature rhyme was used from the beginning. Unrhymed verse was never popular, although it was sometimes imitated from Latin. Homer's, Virgil's and even Milton's epic poems were furnished with rhymes by Polish translators.[18] Because of paroxytonic accentuation in Polish, feminine rhymes always prevailed. Rules of Polish rhyme were established in 16th century. Then only feminine rhymes were allowed in syllabic verse system. Together with introducing syllabo-accentual metres, masculine rhymes began to occur in Polish poetry. They were most popular at the end of 19th century. The most frequent rhyme scheme in Old Polish (16th - 18th centuries) was couplet AABBCCDD..., but Polish poets, having perfect knowledge of Italian language and literature, experimented with other schemes, among others ottava rima (ABABABCC) and sonnet (ABBA ABBA CDC DCD or ABBA ABBA CDCD EE).
|
139 |
+
|
140 |
+
Wpłynąłem na suchego przestwór oceanu,
|
141 |
+
Wóz nurza się w zieloność i jak łódka brodzi,
|
142 |
+
Śród fali łąk szumiących, śród kwiatów powodzi,
|
143 |
+
Omijam koralowe ostrowy burzanu.
|
144 |
+
|
145 |
+
Across sea-meadows measureless I go,
|
146 |
+
My wagon sinking under grass so tall
|
147 |
+
The flowery petals in foam on me fall,
|
148 |
+
And blossom-isles float by I do not know.[19]
|
149 |
+
|
150 |
+
The metre of Mickiewicz's sonnet is the Polish alexandrine (tridecasyllable, in Polish "trzynastozgłoskowiec"): 13(7+6) and its rhymes are feminine: [anu] and [odzi].
|
151 |
+
|
152 |
+
Rhymes were widely spread in the Arabian peninsula around the 6th century, in letters, poems and songs, as well as long, rhyming qasidas.[13] In addition, the Quran uses a form of rhymed prose named saj'.
|
153 |
+
|
154 |
+
Patterns of rich rhyme (prāsa) play a role in modern Sanskrit poetry, but only to a minor extent in historical Sanskrit texts. They are classified according to their position within the pada (metrical foot): ādiprāsa (first syllable), dvitīyākṣara prāsa (second syllable), antyaprāsa (final syllable) etc.
|
155 |
+
|
156 |
+
There are some unique rhyming schemes in Dravidian languages like Tamil. Specifically, the rhyme called etukai (anaphora) occurs on the second consonant of each line.
|
157 |
+
|
158 |
+
The other rhyme and related patterns are called mōnai (alliteration), toṭai (epiphora) and iraṭṭai kiḷavi (parallelism).
|
159 |
+
|
160 |
+
Some classical Tamil poetry forms, such as veṇpā, have rigid grammars for rhyme to the point that they could be expressed as a context-free grammar.
|
161 |
+
|
162 |
+
Rhymes are used in Vietnamese to produce similes. The following is an example of a Rhyming Simile:
|
163 |
+
|
164 |
+
Nghèo như con mèo
|
165 |
+
/ŋɛu ɲɯ kɔn mɛu/
|
166 |
+
"Poor as a cat"
|
167 |
+
|
168 |
+
Compare the above Vietnamese example, which is a rhyming simile, to the English phrase "(as) poor as a church mouse", which is only a semantic simile.[20]
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|
1 |
+
|
2 |
+
|
3 |
+
Rio de Janeiro (/ˈriːoʊ di ʒəˈnɛəroʊ, - deɪ -, - də -/; Portuguese: [ˈʁi.u d(ʒi) ʒɐˈne(j)ɾu] (listen);[3]), or simply Rio,[4] is anchor to the Rio de Janeiro metropolitan area and the second-most populous municipality in Brazil and the sixth-most populous in the Americas. Rio de Janeiro is the capital of the state of Rio de Janeiro, Brazil's third-most populous state, after São Paulo and Minas Gerais. Part of the city has been designated as a World Heritage Site, named "Rio de Janeiro: Carioca Landscapes between the Mountain and the Sea", by UNESCO on 1 July 2012 as a Cultural Landscape.[5]
|
4 |
+
|
5 |
+
Founded in 1565 by the Portuguese, the city was initially the seat of the Captaincy of Rio de Janeiro, a domain of the Portuguese Empire. Later, in 1763, it became the capital of the State of Brazil, a state of the Portuguese Empire. In 1808, when the Portuguese Royal Court transferred itself from Portugal to Brazil, Rio de Janeiro became the chosen seat of the court of Queen Maria I of Portugal, who subsequently, in 1815, under the leadership of her son, the Prince Regent, and future King João VI of Portugal, raised Brazil to the dignity of a kingdom, within the United Kingdom of Portugal, Brazil, and Algarves. Rio stayed the capital of the pluricontinental Lusitanian monarchy until 1822, when the War of Brazilian Independence began. This is one of the few instances in history that the capital of a colonising country officially shifted to a city in one of its colonies. Rio de Janeiro subsequently served as the capital of the independent monarchy, the Empire of Brazil, until 1889, and then the capital of a republican Brazil until 1960 when the capital was transferred to Brasília.
|
6 |
+
|
7 |
+
Rio de Janeiro has the second largest municipal GDP in the country,[6] and 30th largest in the world in 2008,[7] estimated at about R$343 billion (nearly US$201 billion). It is headquarters to Brazilian oil, mining, and telecommunications companies, including two of the country's major corporations – Petrobras and Vale – and Latin America's largest telemedia conglomerate, Grupo Globo. The home of many universities and institutes, it is the second-largest center of research and development in Brazil, accounting for 17% of national scientific output according to 2005 data.[8] Despite the high perception of crime, the city actually has a lower incidence of crime than most state capitals in Brazil. [9]
|
8 |
+
|
9 |
+
Rio de Janeiro is one of the most visited cities in the Southern Hemisphere and is known for its natural settings, Carnival, samba, bossa nova, and balneario beaches[10] such as Barra da Tijuca, Copacabana, Ipanema, and Leblon. In addition to the beaches, some of the most famous landmarks include the giant statue of Christ the Redeemer atop Corcovado mountain, named one of the New Seven Wonders of the World; Sugarloaf Mountain with its cable car; the Sambódromo (Sambadrome), a permanent grandstand-lined parade avenue which is used during Carnival; and Maracanã Stadium, one of the world's largest football stadiums. Rio de Janeiro was the host of the 2016 Summer Olympics and the 2016 Summer Paralympics, making the city the first South American and Portuguese-speaking city to ever host the events, and the third time the Olympics were held in a Southern Hemisphere city.[11] The Maracanã Stadium held the finals of the 1950 and 2014 FIFA World Cups, the 2013 FIFA Confederations Cup, and the XV Pan American Games.
|
10 |
+
|
11 |
+
Europeans first encountered Guanabara Bay on 1 January 1502 (hence Rio de Janeiro, "January River"), by a Portuguese expedition under explorer Gaspar de Lemos, captain of a ship in Pedro Álvares Cabral's fleet, or under Gonçalo Coelho.[12] Allegedly the Florentine explorer Amerigo Vespucci participated as observer at the invitation of King Manuel I in the same
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expedition. The region of Rio was inhabited by the Tupi, Puri, Botocudo and Maxakalí peoples.[13]
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In 1555, one of the islands of Guanabara Bay, now called Villegagnon Island, was occupied by 500 French colonists under the French admiral Nicolas Durand de Villegaignon. Consequently, Villegagnon built Fort Coligny on the island when attempting to establish the France Antarctique colony.
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The city of Rio de Janeiro proper was founded by the Portuguese on 1 March 1565 and was named São Sebastião do Rio de Janeiro, in honour of St. Sebastian, the saint who was the namesake and patron of the Portuguese then-monarch Sebastião. Rio de Janeiro was the name of Guanabara Bay. Until early in the 18th century, the city was threatened or invaded by several mostly French pirates and buccaneers, such as Jean-François Duclerc and René Duguay-Trouin.[14]
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In the late 17th century, still during the Sugar Era, the Bandeirantes discovered gold and diamonds in the neighbouring captaincy of Minas Gerais, thus Rio de Janeiro became a much more practical port for exporting wealth (gold, precious stones, besides the sugar) than Salvador, Bahia, much farther northeast. On 27 January 1763,[15] the colonial administration in Portuguese America was moved from Salvador to Rio de Janeiro. The city remained primarily a colonial capital until 1808, when the Portuguese royal family and most of the associated Lisbon nobles, fleeing from Napoleon's invasion of Portugal, moved to Rio de Janeiro.
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The kingdom's capital was transferred to the city, which, thus, became the only European capital outside of Europe. As there was no physical space or urban structure to accommodate hundreds of noblemen who arrived suddenly, many inhabitants were simply evicted from their homes.[16] In the first decade, several educational establishments were created, such as the Military Academy, the Royal School of Sciences, Arts and Crafts and the Imperial Academy of Fine Arts, as well as the National Library of Brazil – with the largest collection in Latin America[17] – and The Botanical Garden. The first printed newspaper in Brazil, the Gazeta do Rio de Janeiro, came into circulation during this period.[18] When Brazil was elevated to Kingdom in 1815, it became the capital of the United Kingdom of Portugal, Brazil and the Algarves until the return of the Portuguese Royal Family to Lisbon in 1821, but remained as capital of the Kingdom of Brazil.[19]
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From the colonial period until the first independent era, Rio de Janeiro was a city of slaves. There was a large influx of African slaves to Rio de Janeiro: in 1819, there were 145,000 slaves in the captaincy. In 1840, the number of slaves reached 220,000 people.[20] The Port of Rio de Janeiro was the largest port of slaves in America.[21]
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When Prince Pedro proclaimed the independence of Brazil in 1822, he decided to keep Rio de Janeiro as the capital of his new empire while the place was enriched with sugar cane agriculture in the Campos region and, especially, with the new coffee cultivation in the Paraíba Valley.[19] In order to separate the province from the capital of the Empire, the city was converted, in the year of 1834, in Neutral Municipality, passing the province of Rio de Janeiro to have Niterói as capital.[19]
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As a political centre of the country, Rio concentrated the political-partisan life of the Empire. It was the main stage of the abolitionist and republican movements in the last half of the 19th century.[19] At that time the number of slaves was drastically reduced and the city was developed, with modern drains, animal trams, train stations crossing the city, gas and electric lighting, telephone and telegraph wiring, water and river plumbing.[19] Rio continued as the capital of Brazil after 1889, when the monarchy was replaced by a republic.
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On 6 February 1889 the Bangu Textile Factory was founded, with the name of Industrial Progress Company of Brazil (Companhia Progresso Industrial do Brasil). The factory was officially opened on 8 March 1893, in a complex with varying architectural styles like Italianate, Neo-Gothic and a tower in Mansard Roof style. After the opening in 1893, workers from Great Britain arrived in Bangu to work in the textile factory. The old farms became worker villages with red bricks houses, and a neo-gothic church was created, which still exists as the Saint Sebastian and Saint Cecilia Parish Church. Street cinemas and cultural buildings also appeared. In May 1894, Thomas Donohoe, a British worker from Busby, Scotland, arrived in Bangu.[22]
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Donohoe was horrified to discover that there was absolutely no knowledge of football among Brazilians. So he wrote to his wife, Elizabeth, asking her to bring a football when she joined him. And shortly after her arrival, in September 1894, the first football match in Brazil took place in the field beside the textile factory. It was a five-a-side match between British workers, and took place six months before the first game organized by Charles Miller in São Paulo. However, the Bangu Football Club was not formally created until 1904.[23]
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At the time Brazil's Old Republic was established, the city lacked urban planning and sanitation, which helped spread several diseases, such as yellow fever, dysentery, variola, tuberculosis and even black death. Pereira Passos, who was named mayor in 1902, imposed reforms to modernize the city, demolishing the cortiços where most of the poor population lived. These people, mostly descendants of slaves, then moved to live in the city's hills, creating the first favelas.[24] Inspired by the city of Paris, Passos built the Municipal Theatre, the National Museum of Fine Arts and the National Library in the city's center; brought electric power to Rio and created larger avenues to adapt the city to automobiles.[25] Passos also named Dr. Oswaldo Cruz as Director General of Public Health. Cruz's plans to clean the city of diseases included compulsory vaccination of the entire population and forced entry into houses to kill mosquitos and rats. The people of city rebelled against Cruz's policy, in what would be known as the Vaccine Revolt.[26]
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In 1910, Rio saw the Revolt of the Lash, where Afro-Brazilian crew members in the Brazilian Navy mutinied against the heavy use of corporal punishment, which was similar to the punishment slaves received. The mutineers took control of the battleship Minas Geraes and threatened to fire on the city. Another military revolt occurred in 1922, the 18 of the Copacabana Fort revolt, a march against the Old Republic's coronelism and café com leite politics. This revolt marked the beginning of Tenentism, a movement that resulted in the Brazilian Revolution of 1930 that started the Vargas Era.
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Until the early years of the 20th century, the city was largely limited to the neighbourhood now known as the historic city centre (see below), on the mouth of Guanabara Bay. The city's centre of gravity began to shift south and west to the so-called Zona Sul (South Zone) in the early part of the 20th century, when the first tunnel was built under the mountains between Botafogo and the neighbourhood that is now known as Copacabana. Expansion of the city to the north and south was facilitated by the consolidation and electrification of Rio's streetcar transit system after 1905.[27] Botafogo's natural environment, combined with the fame of the Copacabana Palace Hotel, the luxury hotel of the Americas in the 1930s, helped Rio to gain the reputation it still holds today as a beach party town. This reputation has been somewhat tarnished in recent years by favela violence resulting from the narcotics trade and militias.[28]
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Plans for moving the nation's capital city from Rio de Janeiro to the centre of Brazil had been occasionally discussed, and when Juscelino Kubitschek was elected president in 1955, it was partially on the strength of promises to build a new capital.[29] Though many thought that it was just campaign rhetoric, Kubitschek managed to have Brasília and a new Federal District built, at great cost, by 1960. On 21 April of that year the capital of Brazil was officially moved to Brasília. The territory of the former Federal District became its own state, Guanabara, after the bay that borders it to the east, encompassing just the city of Rio de Janeiro. After the 1964 coup d'état that installed a military dictatorship, the city-state was the only state left in Brazil to oppose the military. Then, in 1975, a presidential decree known as "The Fusion" removed the city's federative status and merged it with the State of Rio de Janeiro, with the city of Rio de Janeiro replacing Niterói as the state's capital, and establishing the Rio de Janeiro Metropolitan Region.[30]
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In 1992, Rio hosted the Earth Summit, a United Nations conference to fight environmental degradation. Twenty years later, in 2012, the city hosted another conference on sustainable development, named United Nations Conference on Sustainable Development. The city hosted the World Youth Day in 2013, the second World Youth Day in South America and first in Brazil. In the sports field, Rio de Janeiro was the host of the 2007 Pan American Games and the 2014 FIFA World Cup Final. On 2 October 2009, the International Olympic Committee announced that Rio de Janeiro would host the 2016 Olympic Games and the 2016 Paralympic Games, beating competitors Chicago, Tokyo, and Madrid. The city became the first South American city to host the event and the second Latin American city (after Mexico City in 1968) to host the Games.
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Rio de Janeiro is on the far western part of a strip of Brazil's Atlantic coast (between a strait east to Ilha Grande, on the Costa Verde, and the Cabo Frio), close to the Tropic of Capricorn, where the shoreline is oriented east–west. Facing largely south, the city was founded on an inlet of this stretch of the coast, Guanabara Bay (Baía de Guanabara), and its entrance is marked by a point of land called Sugar Loaf (Pão de Açúcar) – a "calling card" of the city.[31]
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The Centre (Centro), the core of Rio, lies on the plains of the western shore of Guanabara Bay. The greater portion of the city, commonly referred to as the North Zone (Zona Norte, Rio de Janeiro [pt]), extends to the northwest on plains composed of marine and continental sediments and on hills and several rocky mountains. The South Zone (Zona Sul) of the city, reaching the beaches fringing the open sea, is cut off from the Centre and from the North Zone by coastal mountains. These mountains and hills are offshoots of the Serra do Mar to the northwest, the ancient gneiss-granite mountain chain that forms the southern slopes of the Brazilian Highlands. The large West Zone (Zona Oeste), long cut off by the mountainous terrain, had been made more easily accessible to those on the South Zone by new roads and tunnels by the end of the 20th century.[32]
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The population of the city of Rio de Janeiro, occupying an area of 1,182.3 square kilometres (456.5 sq mi),[33] is about 6,000,000.[34] The population of the greater metropolitan area is estimated at 11–13.5 million. Residents of the city are known as cariocas. The official song of Rio is "Cidade Maravilhosa", by composer André Filho.
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The city has parks and ecological reserves such as the Tijuca National Park, the world's first urban forest and UNESCO Environmental Heritage and Biosphere Reserve; Pedra Branca State Park, which houses the highest point of Rio de Janeiro, the peak of Pedra Branca; the Quinta da Boa Vista complex; the Botanical Garden;[35] Rio's Zoo; Parque Lage; and the Passeio Público, the first public park in the Americas.[36] In addition the Flamengo Park is the largest landfill in the city, extending from the center to the south zone, and containing museums and monuments, in addition to much vegetation.
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Due to the high concentration of industries in the metropolitan region, the city has faced serious problems of environmental pollution. The Guanabara Bay has lost mangrove areas and suffers from residues from domestic and industrial sewage, oils and heavy metals. Although its waters renew when they reach the sea, the bay is the final receiver of all the tributaries generated along its banks and in the basins of the many rivers and streams that flow into it. The levels of particulate matter in the air are twice as high as that recommended by the World Health Organization, in part because of the large numbers of vehicles in circulation.[37]
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The waters of Sepetiba Bay are slowly following the path traced by Guanabara Bay, with sewage generated by a population of the order of 1.29 million inhabitants being released without treatment in streams or rivers. With regard to industrial pollution, highly toxic wastes, with high concentrations of heavy metals – mainly zinc and cadmium – have been dumped over the years by factories in the industrial districts of Santa Cruz, Itaguaí and Nova Iguaçu, constructed under the supervision of State policies.[38]
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The Marapendi lagoon and the Rodrigo de Freitas Lagoon have suffered with the leniency of the authorities and the growth in the number of apartment buildings close by. The illegal discharge of sewage and the consequent deaths of algae diminished the oxygenation of the waters, causing fish mortality.[39][40]
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There are, on the other hand, signs of decontamination in the lagoon made through a public-private partnership established in 2008 to ensure that the lagoon waters will eventually be suitable for bathing. The decontamination actions involve the transfer of sludge to large craters present in the lagoon itself, and the creation of a new direct and underground connection with the sea, which will contribute to increase the daily water exchange between the two environments. However, during the Olympics the lagoon hosted the rowing competitions and there were numerous concerns about potential infection resulting from human sewage.[41]
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Rio has a tropical savanna climate (Aw) that closely borders a tropical monsoon climate (Am) according to the Köppen climate classification, and is often characterized by long periods of heavy rain between December and March.[42] The city experiences hot, humid summers, and warm, sunny winters. In inland areas of the city, temperatures above 40 °C (104 °F) are common during the summer, though rarely for long periods, while maximum temperatures above 27 °C (81 °F) can occur on a monthly basis.
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Along the coast, the breeze, blowing onshore and offshore, moderates the temperature. Because of its geographic situation, the city is often reached by cold fronts advancing from Antarctica, especially during autumn and winter, causing frequent weather changes. In summer there can be strong rains, which have, on some occasions, provoked catastrophic floods and landslides. The mountainous areas register greater rainfall since they constitute a barrier to the humid wind that comes from the Atlantic.[43] The city has had rare frosts in the past. Some areas within Rio de Janeiro state occasionally have falls of snow grains and ice pellets (popularly called granizo) and hail. [44][45][46]
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Drought is very rare, albeit bound to happen occasionally given the city's strongly seasonal tropical climate. The Brazilian drought of 2014–2015, most severe in the Southeast Region and the worst in decades, affected the entire metropolitan region's water supply (a diversion from the Paraíba do Sul River to the Guandu River is a major source for the state's most populous mesoregion). There were plans to divert the Paraíba do Sul to the Sistema Cantareira (Cantareira system) during the water crisis of 2014 in order to help the critically drought-stricken Greater São Paulo area. However, availability of sufficient rainfall to supply tap water to both metropolitan areas in the future is merely speculative.[47][48][49]
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Roughly in the same suburbs (Nova Iguaçu and surrounding areas, including parts of Campo Grande and Bangu) that correspond to the location of the March 2012, February–March 2013 and January 2015 pseudo-hail (granizo) falls, there was a tornado-like phenomenon in January 2011, for the first time in the region's recorded history, causing structural damage and long-lasting blackouts, but no fatalities.[50][51] The World Meteorological Organization has advised that Brazil, especially its southeastern region, must be prepared for increasingly severe weather occurrences in the near future, since events such as the catastrophic January 2011 Rio de Janeiro floods and mudslides are not an isolated phenomenon. In early May 2013, winds registering above 90 km/h (56 mph) caused blackouts in 15 neighborhoods of the city and three surrounding municipalities, and killed one person.[52] Rio saw similarly high winds (about 100 km/h (62 mph)) in January 2015.[53] The average annual minimum temperature is 21 °C (70 °F),[54] the average annual maximum temperature is 27 °C (81 °F),[55] and the average annual temperature is 24 °C (75 °F).[56] The average yearly precipitation is 1,069 mm (42.1 in).[57]
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Temperature also varies according to elevation, distance from the coast, and type of vegetation or land use. During the winter, cold fronts and dawn/morning sea breezes bring mild temperatures; cold fronts, the Intertropical Convergence Zone (in the form of winds from the Amazon Forest), the strongest sea-borne winds (often from an extratropical cyclone) and summer evapotranspiration bring showers or storms. Thus the monsoon-like climate has dry and mild winters and springs, and very wet and warm summers and autumns. As a result, temperatures over 40 °C (104 °F), that may happen about year-round but are much more common during the summer, often mean the actual temperature feeling is over 50 °C (122 °F), when there is little wind and the relative humidity percentage is high.[58][59][60][61]
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Rio de Janeiro is second only to Cuiabá as the hottest Brazilian state capital outside Northern and Northeastern Brazil; temperatures below 14 °C (57 °F) occur yearly, while those lower than 11 °C (52 °F) happen less often. The phrase, fazer frio ("making cold", i.e. "the weather is getting cold"), usually refers to temperatures going below 21 °C (70 °F), which is possible year-round and is commonplace in mid-to-late autumn, winter and early spring nights.
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Between 1961 and 1990, at the INMET (Brazilian National Institute of Meteorology) conventional station in the neighborhood of Saúde, the lowest temperature recorded was 10.1 °C (50.2 °F) in October 1977,[62] and the highest temperature recorded was 39 °C (102.2 °F) in December 1963.[63] The highest accumulated rainfall in 24 hours was 167.4 mm (6.6 in) in January 1962.[64] However, the absolute minimum temperature ever recorded at the INMET Jacarepaguá station was 3.8 °C (38.8 °F) in July 1974,[62] while the absolute maximum was 43.2 °C (110 °F) on 26 December 2012[65] in the neighborhood of the Santa Cruz station. The highest accumulated rainfall in 24 hours, 186.2 mm (7.3 in), was recorded at the Santa Teresa station in April 1967.[64] The lowest temperature ever registered in the 21st century was 8.1 °C (46.6 °F) in Vila Militar, July 2011.[66]
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The city is commonly divided into the historic center (Centro); the tourist-friendly wealthier South Zone (Zona Sul); the residential less wealthy North Zone (Zona Norte); peripheries in the West Zone (Zona Oeste), among them Santa Cruz, Campo Grande and the wealthy newer Barra da Tijuca district.
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Centro or Downtown is the historic core of the city, as well as its financial centre. Sites of interest include the Paço Imperial, built during colonial times to serve as a residence for the Portuguese governors of Brazil; many historic churches, such as the Candelária Church (the former cathedral), São Jose, Santa Lucia, Nossa Senhora do Carmo, Santa Rita, São Francisco de Paula, and the monasteries of Santo Antônio and São Bento. The Centro also houses the modern concrete Rio de Janeiro Cathedral. Around the Cinelândia square, there are several landmarks of the Belle Époque of Rio, such as the Municipal Theatre and the National Library building.
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Among its several museums, the Museu Nacional de Belas Artes (National Museum of Fine Arts) and the Museu Histórico Nacional (National Historical Museum) are the most important. Other important historical attractions in central Rio include its Passeio Público, an 18th-century public garden. Major streets include Avenida Rio Branco and Avenida Vargas, both constructed, in 1906 and 1942 respectively, by destroying large swaths of the colonial city. A number of colonial streets, such as Rua do Ouvidor and Uruguaiana, have long been pedestrian spaces, and the popular Saara shopping district has been pedestrianized more recently. Also located in the center is the traditional neighbourhood called Lapa, an important bohemian area frequented by both townspeople and tourists.
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The South Zone of Rio de Janeiro (Zona Sul) is composed of several districts, among which are São Conrado, Leblon, Ipanema, Arpoador, Copacabana, and Leme, which compose Rio's famous Atlantic beach coastline. Other districts in the South Zone are Glória, Catete, Flamengo, Botafogo, and Urca, which border Guanabara Bay, and Santa Teresa, Cosme Velho, Laranjeiras, Humaitá, Lagoa, Jardim Botânico, and Gávea. It is the wealthiest part of the city and the best known overseas; the neighborhoods of Leblon and Ipanema, in particular, have the most expensive real estate in all of South America.
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The neighbourhood of Copacabana beach hosts one of the world's most spectacular New Year's Eve parties ("Reveillon"), as more than two million revelers crowd onto the sands to watch the fireworks display. From 2001, the fireworks have been launched from boats, to improve the safety of the event.[70]
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To the north of Leme, and at the entrance to Guanabara Bay, is the district of Urca and the Sugarloaf Mountain ('Pão de Açúcar'), whose name describes the famous mountain rising out of the sea. The summit can be reached via a two-stage cable car trip from Praia Vermelha, with the intermediate stop on Morro da Urca. It offers views of the city second only to Corcovado mountain. Hang gliding is a popular activity on the Pedra Bonita (literally, "Beautiful Rock"). After a short flight, gliders land on the Praia do Pepino (Pepino, or "cucumber", Beach) in São Conrado.
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Since 1961, the Tijuca National Park (Parque Nacional da Tijuca), the largest city-surrounded urban forest and the second largest urban forest in the world, has been a National Park. The largest urban forest in the world is the Floresta da Pedra Branca (White Rock Forest), which is located in the West Zone of Rio de Janeiro.[71]
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The Pontifical Catholic University of Rio (Pontifícia Universidade Católica do Rio de Janeiro or PUC-Rio), Brazil's top private university, is located at the edge of the forest, in the Gávea district. The 1984 film Blame It on Rio was filmed nearby, with the rental house used by the story's characters sitting at the edge of the forest on a mountain overlooking the famous beaches. In 2012, CNN elected Ipanema the best city beach in the world.[72]
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The North Zone (Zona Norte) begins at Grande Tijuca (the middle class residential and commercial bairro of Tijuca), just west of the city center, and sprawls for miles inland until Baixada Fluminense and the city's Northwest.
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This region is home to the Maracanã stadium (located in Grande Tijuca), once the world's highest capacity football venue, able to hold nearly 199,000 people, as it did for the World Cup final of 1950. More recently its capacity has been reduced to conform with modern safety regulations and the stadium has introduced seating for all fans. Currently undergoing reconstruction, it has now the capacity for 90,000; it will eventually hold around 80,000 people. Maracanã was the site for the Opening and Closing Ceremonies and football competition of the 2007 Pan American Games; hosted the final match of the 2014 FIFA World Cup, the Opening and Closing Ceremonies and the football matches of the 2016 Summer Olympics.
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Besides Maracanã, the North Zone of Rio also has other tourist and historical attractions, such "Nossa Senhora da Penha de França Church", the Christ the Redeemer (statue) with its stairway built into the rock bed, 'Manguinhos', the home of Instituto Oswaldo Cruz, a centenarian biomedical research institution with a main building fashioned like a Moorish palace, and the Quinta da Boa Vista, the park where the historic Imperial Palace is located. Nowadays, the palace hosts the National Museum, specialising in Natural History, Archaeology, and Ethnology. The International Airport of Rio de Janeiro (Galeão – Antônio Carlos Jobim International Airport, named after the famous Brazilian musician Antônio Carlos Jobim), the main campus of the Federal University of Rio de Janeiro at the Fundão Island, and the State University of Rio de Janeiro, in Maracanã, are also located in the Northern part of Rio.
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This region is also home to most of the samba schools of Rio de Janeiro such as Mangueira, Salgueiro, Império Serrano, Unidos da Tijuca, Imperatriz Leopoldinense, among others. Some of the main neighbourhoods of Rio's North Zone are Alto da Boa Vista which shares the Tijuca Rainforest with the South and Southwest Zones; Tijuca, Vila Isabel, Méier, São Cristovão, Madureira, Penha, Manguinhos, Fundão, Olaria among others. Many of Rio de Janeiro's roughly 1000 slums, or favelas, are located in the North Zone.[73] The favelas resemble the slums of Paris, New York or other major cities in the 19th and early 20th centuries in the United States and Europe, or similar neighborhoods in present underdeveloped countries.
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West Zone (Zona Oeste) of Rio de Janeiro is a vaguely defined area that covers some 50% of the city's entire area, including Barra da Tijuca and Recreio dos Bandeirantes neighborhoods. The West Side of Rio has many historic sites because of the old "Royal Road of Santa Cruz" that crossed the territory in the regions of Realengo, Bangu, and Campo Grande, finishing at the Royal Palace of Santa Cruz in the Santa Cruz region. The highest peak of the city of Rio de Janeiro is the Pedra Branca Peak (Pico da Pedra Branca) inside the Pedra Branca State Park. It has an altitude of 1024m. The Pedra Branca State Park (Parque Estadual da Pedra Branca)[74] is the biggest urban state park in the world comprising 17 neighborhoods in the west side, being a "giant lung" in the city with trails,[75] waterfalls and historic constructions like an old aqueduct in the Colônia Juliano Moreira[76] in the neighborhood of Taquara and a dam in Camorim. The park has three principal entrances: the main one is in Taquara called Pau da Fome Core, another entrance is the Piraquara Core in Realengo and the last one is the Camorim Core, considered the cultural heritage of the city.
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Santa Cruz and Campo Grande Region have exhibited economic growth, mainly in the Campo Grande neighborhood. Industrial enterprises are being built in lower and lower middle class residential Santa Cruz, one of the largest and most populous of Rio de Janeiro's neighbourhoods, most notably Ternium Brasil, a new steel mill with its own private docks on Sepetiba Bay, which is planned to be South America's largest steel works.[77] A tunnel called Túnel da Grota Funda, opened in 2012, creating a public transit facility between Barra da Tijuca and Santa Cruz, lessening travel time to the region from other areas of Rio de Janeiro.[78]
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This is an elite area of the West Zone of the city of Rio de Janeiro. It includes Barra da Tijuca, Recreio dos Bandeirantes, Vargem Grande, Vargem Pequena, Grumari, Itanhangá, Camorim and Joá. Westwards from the older zones of Rio, Barra da Tijuca is a flat complex of barrier islands of formerly undeveloped coastal land, which constantly experiences new constructions and developments. It remains an area of accelerated growth, attracting some of the richer sectors of the population as well as luxury companies. High rise flats and sprawling shopping centers give the area a far more modern feel than the crowded city centre.
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The urban planning of the area, completed in the late 1960s, mixes zones of single-family houses with residential skyscrapers. The beaches of Barra da Tijuca are also popular with the residents from other parts of the city. One of the most famous hills in the city is the 842-metre-high (2,762-foot) Pedra da Gávea (Crow's nest Rock) bordering the South Zone. On the top of its summit is a huge rock formation (some, such as Erich von Däniken in his 1973 book, In Search of Ancient Gods, claim it to be a sculpture) resembling a sphinx-like, bearded head that is visible for many kilometres around.
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According to the 2010 IBGE Census, there were 5,940,224 people residing in the city of Rio de Janeiro.[79] The census revealed the following numbers: 3,239,888 White people (51.2%), 2,318,675 Pardo (multiracial) people (36.5%), 708,148 Black people (11.5%), 45,913 Asian people (0.7%), 5,981 Amerindian people (0.1%).[80] The population of Rio de Janeiro was 53.2% female and 46.8% male.[80]
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In 2010, the city of Rio de Janeiro was the 2nd most populous city in Brazil, after São Paulo.[81]
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Different ethnic groups contributed to the formation of the population of Rio de Janeiro. Before European colonization, there were at least seven different indigenous peoples speaking 20 languages in the region. A part of them joined the Portuguese and the other the French. Those who joined the French were then exterminated by the Portuguese, while the other part was assimilated.[82]
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Rio de Janeiro is home to the largest Portuguese population outside of Lisbon in Portugal.[83] After independence from Portugal, Rio de Janeiro became a destination for hundreds of thousands of immigrants from Portugal, mainly in the early 20th century. The immigrants were mostly poor peasants who subsequently found prosperity in Rio as city workers and small traders.[84] The Portuguese cultural influence is still seen in many parts of the city (and many other parts of the state of Rio de Janeiro), including architecture and language. Most Brazilians with some cultural contact with Rio know how to easily differentiate between the local dialect, fluminense, and other Brazilian dialects.
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People of Portuguese ancestry predominate in most of the state. The Brazilian census of 1920 showed that 39.7% of the Portuguese who lived in Brazil lived in Rio de Janeiro. Including all of the Rio de Janeiro, the proportion raised to 46.3% of the Portuguese who lived in Brazil. The numerical presence of the Portuguese was extremely high, accounting for 72% of the foreigners who lived in the capital. Portuguese born people accounted for 20.4% of the population of Rio, and those with a Portuguese father or a Portuguese mother accounted for 30.8%. In other words, native born Portuguese and their children accounted for 51.2% of the inhabitants of Rio, or a total of 267,664 people in 1890.[86]
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The black community was formed by residents whose ancestors had been brought as slaves, mostly from Angola and Mozambique, as well by people of Angolan, Mozambican and West African descent who moved to Rio from other parts of Brazil. The samba (from Bahia with Angolan influence) and the famous local version of the carnival (from Europe) first appeared under the influence of the black community in the city.
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Today, nearly half of the city's population is by phenotype perceptibly black or part black.[88] A large majority has some recent sub-Saharan ancestor. White in Brazil is defined more by having a European-looking phenotype rather than ancestry, and two full siblings can be of different "racial" categories[89] in a skin color and phenotype continuum from pálido (branco) or fair-skinned, through branco moreno or swarthy Caucasian, mestiço claro or lighter skinned multiracial, pardo (mixed race) to negro or black. Pardo, for example, in popular usage includes those who are caboclos (mestizos), mulatos (mulattoes), cafuzos (zambos), juçaras (archaic term for tri-racials) and westernized Amerindians (which are called caboclos as well), being more of a skin color rather than a racial group in particular.
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As a result of the influx of immigrants to Brazil from the late 19th to the early 20th century, also found in Rio de Janeiro and its metropolitan area are communities of Levantine Arabs who are mostly Christian or Irreligious, Spaniards, Italians, Germans, Japanese,[90] Jews, and people from other parts of Brazil. The main waves of internal migration came from people of African, mixed or older Portuguese (as descendants of early settlers) descent from Minas Gerais and people of Eastern European, Swiss, Italian, German, Portuguese and older Portuguese-Brazilian heritage from Espírito Santo in the early and mid-20th century, together with people with origins in Northeastern Brazil, in the mid-to-late and late 20th century, as well some in the early 21st century (the latter more directed to peripheries than the city's core).
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According to an autosomal DNA study from 2009, conducted on a school in the poor suburb of Rio de Janeiro, the "pardos" there were found to be on average about 80% European, and the "whites" (who thought of themselves as "very mixed") were found to carry very little Amerindian and/or African admixtures. The results of the tests of genomic ancestry are quite different from the self made estimates of European ancestry. In general, the test results showed that European ancestry is far more important than the students thought it would be. The "pardos" for example thought of themselves as ⅓ European, ⅓ African and ⅓ Amerindian before the tests, and yet their ancestry on average reached 80% European.[92][93] Other studies showed similar results[91][94]
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Rio de Janeiro is the second largest city in Brazil (after São Paulo) and has a rapidly expanding population and rapidly growing area due to rapid urbanization.
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The Rio de Janeiro metropolitan area, according to 2009 research from Fundação Getúlio Vargas (known as Novo Mapa das Religiões), is mostly Catholic (51.1%). Rio de Janeiro city also ranks fifth among Brazilian state capital cities in the percentage of its population that is irreligious (13.3%), barely changing since 2000 (the first-ranked, Boa Vista, has 21.2% irreligious).[97][98] It is also the Brazilian state capital with the greatest percentage of Spiritists (now about 4–5%), and with substantial numbers in Afro-Brazilian religions and Eastern religions.
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There are significant disparities between the rich and the poor in Rio de Janeiro, and different socioeconomic groups are largely segregated into different neighborhoods.[100] Although the city clearly ranks among the world's major metropolises, large numbers live in slums known as favelas, where 95% of the population are poor, compared to 40% in the general population.[101]
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There have been a number of government initiatives to counter this problem, from the removal of the population from favelas to housing projects such as Cidade de Deus to the more recent approach of improving conditions in the favelas and bringing them up to par with the rest of the city, as was the focus of the "Favela Bairro" program and deployment of Pacifying Police Units.
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Rio has more people living in slums than any other city in Brazil, according to the 2010 Census.[102] More than 1,500,000 people live in its 763 favelas, 22% of Rio's total population. São Paulo, the largest city in Brazil, has more favelas (1,020) in sheer numbers, but proportionally has fewer people living in favelas than Rio.
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Rio de Janeiro has the second largest GDP of any city in Brazil, surpassed only by São Paulo. According to the IBGE, it was approximately US$201 billion in 2008, equivalent to 5.1% of the national total. Taking into consideration the network of influence exerted by the urban metropolis (which covers 11.3% of the population), this share in GDP rises to 14.4%, according to a study released in October 2008 by the IBGE.[104]
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Greater Rio de Janeiro, as perceived by the IBGE, has a GDP of US$187 billion, constituting the second largest hub of national wealth. Per capita GDP is US$11,786.[105] It concentrates 68% of the state's economic strength and 7.9% of all goods and services produced in the country.[106] The services sector comprises the largest portion of GDP (65.5%), followed by commerce (23.4%), industrial activities (11.1%) and agriculture (0.1%).[107][108]
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Benefiting from the federal capital position it had for a long period (1763–1960), the city became a dynamic administrative, financial, commercial and cultural center. Rio de Janeiro became an attractive place for companies to locate when it was the capital of Brazil, as important sectors of society and of the government were present in the city, even when their factories were located in other cities or states. The city was chosen as headquarters for state-owned companies such as Petrobras, Eletrobras, Caixa Econômica Federal, National Economic and Social Development Bank and Vale (which was privatized in the 1990s). The Rio de Janeiro Stock Exchange (BVRJ), which currently trades only government securities, was the first stock exchange founded in Brazil in 1845. Despite the transfer of the capital to Brasília in 1960, many of these headquarters remained within the Rio metropolitan area.
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The off-shore oil exploration in the Campos Basin began in 1968 and became the main site for oil production of Brazil. This caused many oil and gas companies to be based in Rio de Janeiro, such as the Brazilian branches of Shell, EBX and Esso. For many years Rio was the second largest industrial hub of Brazil,[109] with oil refineries, shipbuilding industries, steel, metallurgy, petrochemicals, cement, pharmaceutical, textile, processed foods and furniture industries.
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Major international pharmaceutical companies have their Brazilian headquarters in Rio such as: Merck, Roche, Arrow, Darrow, Baxter, Mayne, and Mappel. A newer electronics and computer sector has been added to the more-established industries. Construction, also an important activity, provides a significant source of employment for large numbers of unskilled workers and is buoyed by the number of seasonal residents who build second homes in the Greater Rio de Janeiro area.
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Rio is an important financial centre, second only to São Paulo in volume of business. Its securities market, although declining in significance relative to São Paulo, is still of major importance. Recent decades have seen a sharp transformation in its economic profile, which is becoming more and more one of a major national hub of services and businesses.[110] The city is the headquarters of large telecom companies, such as Intelig, Oi and Embratel. Major Brazilian entertainment and media organizations are based in Rio de Janeiro like Organizações Globo and also some of Brazil's major newspapers: Jornal do Brasil, O Dia, and Business Rio.
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Tourism and entertainment are other key aspects of the city's economic life. The city is the nation's top tourist attraction for both Brazilians and foreigners.[111]
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To attract industry, the state government has designated certain areas on the outskirts of the city as industrial districts where infrastructure is provided and land sales are made under special conditions. Oil and natural gas from fields off the northern coast of Rio de Janeiro state are a major asset used for developing manufacturing activities in Rio's metropolitan area, enabling it to compete with other major cities for new investment in industry.[112]
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Owing to the proximity of Rio's port facilities, many of Brazil's export-import companies are headquartered in the city. In Greater Rio, which has one of the highest per capita incomes in Brazil, retail trade is substantial. Many of the most important retail stores are located in the Centre, but others are scattered throughout the commercial areas of the other districts, where shopping centres, supermarkets, and other retail businesses handle a large volume of consumer trade.[113]
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Rio de Janeiro is (as of 2014[update]) the second largest exporting municipality in Brazil. Annually, Rio exported a total of $7.49B (USD) worth of goods.[114] The top three goods exported by the municipality were crude petroleum (40%), semi finished iron product (16%), and semi finished steel products (11%).[115] Material categories of mineral products (42%) and metals (29%) make up 71% of all exports from Rio.[116]
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Compared to other cities, Rio de Janeiro's economy is the 2nd largest in Brazil, behind São Paulo, and the 30th largest in the world with a GDP of R$ 201,9 billion in 2010. The per capita income for the city was R$22,903 in 2007 (around US$14,630).[117] Largely because of the strength of Brazil's currency at the time, Mercer's city rankings of cost of living for expatriate employees, reported that Rio de Janeiro ranked 12th among the most expensive cities in the world in 2011, up from the 29th position in 2010, just behind São Paulo (ranked 10th), and ahead of London, Paris, Milan, and New York City.[118][119] Rio also had the most expensive hotel rates in Brazil, and the daily rate of its five star hotels were the second most expensive in the world after only New York City.[120]
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Rio de Janeiro is Brazil's primary tourist attraction and resort. It receives the most visitors per year of any city in South America with 2.82 million international tourists a year.[121]
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The city boasts world-class hotels, like Belmond Copacabana Palace, approximately 80 kilometres of beaches and the famous Corcovado, Sugarloaf mountains and Maracanã Stadium. While the city had in past had a thriving tourism sector, the industry entered a decline in the last quarter of the 20th century. Annual international airport arrivals dropped from 621,000 to 378,000 and average hotel occupancy dropped to 50% between 1985 and 1993.[122]
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The fact that Brasília replaced Rio de Janeiro as the Brazilian capital in 1960 and that São Paulo replaced Rio as the country's commercial, financial and main cultural center during the mid-20th century, has also been cited as a leading cause of the decline.[123]
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Rio de Janeiro's government has since undertaken to modernise the city's economy, reduce its chronic social inequalities, and improve its commercial standing as part of an initiative for the regeneration of the tourism industry.[123]
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The city is an important global LGBT destination, 1 million LGBT tourists visiting each year.[124] The Rua Farme de Amoedo is located in Ipanema, a famous neighborhood in the South Zone of Rio de Janeiro. The street and the nearby beach, famous tourist spots, are remarkable for their popularity in the LGBT community. Rio de Janeiro is the most awarded destination by World Travel Awards in the South American category of "best destination".[125]
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The Portuguese language is the official and national language, and thus the primary language taught in schools. English and Spanish are also part of the official curriculum. There are also international schools, such as the American School of Rio de Janeiro, Our Lady of Mercy School, the Corcovado German School, the Lycée Français and the British School of Rio de Janeiro.
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The city has several universities and research institutes. The Ministry of Education has certified approximately 99 upper-learning institutions in Rio.[126]
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The most prestigious university is the Federal University of Rio de Janeiro. It is the fifth best in Latin America; the second best in Brazil, second only to the University of São Paulo; and the best in Latin America, according to the QS World University Rankings.[127][128]
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Some notable higher education institutions are Federal University of Rio de Janeiro (UFRJ); Federal University of the Rio de Janeiro state (UNIRIO); Rio de Janeiro State University (UERJ); Federal Rural University of Rio de Janeiro (UFRRJ, often nicknamed Rural); Fluminense Federal University (UFF); Pontifical Catholic University of Rio de Janeiro (PUC-Rio); Getúlio Vargas Foundation (FGV); Military Institute of Engineering (IME); Superior Institute of Technology in Computer Science of Rio de Janeiro (IST-Rio); College of Publicity and Marketing (ESPM); National Institute of Pure and Applied Mathematics (IMPA); Superior institute of Education of Rio de Janeiro (ISERJ) and Federal Center of Technological Education Celso Suckow da Fonseca (CEFET/RJ). There are more than 137 upper-learning institutions in whole Rio de Janeiro state.[129]
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Primary schools are largely under municipal administration, while the state plays a more significant role in the extensive network of secondary schools. There are also a small number of schools under federal administration, as is the case of Pedro II School, Colégio de Aplicação da UFRJ and the Centro Federal de Educação Tecnológica of Rio de Janeiro (CEFET-RJ). In addition, Rio has an ample offering of private schools that provide education at all levels. Rio is home to many colleges and universities. The literacy rate for cariocas aged 10 and older is nearly 95 percent, well above the national average.[130]
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The Rio de Janeiro State University (public), Federal University of Rio de Janeiro (public), Brazilian Institute of Capital Markets (private) and Pontifical Catholic University of Rio de Janeiro (private) are among the country's top institutions of higher education. Other institutes of higher learning include the Colégio Regina Coeli in Usina, notable for having its own 3 ft (914 mm) narrow gauge[131] funicular railway on its grounds.[132]
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In Rio, there were 1,033 primary schools with 25,594 teachers and 667,788 students in 1995. There are 370 secondary schools with 9,699 teachers and 227,892 students. There are 53 University-preparatory schools with 14,864 teachers and 154,447 students. The city has six major universities and 47 private schools of higher learning.[133]
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Rio de Janeiro is a main cultural hub in Brazil. Its architecture embraces churches and buildings dating from the 16th to the 19th centuries, blending with the world-renowned designs of the 20th century. Rio was home to the Portuguese Imperial family and capital of the country for many years, and was influenced by Portuguese, English, and French architecture.[134]
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Rio de Janeiro has inherited a strong cultural role from the past. In the late 19th century, there were sessions held of the first Brazilian film and since then, several production cycles have spread out, eventually placing Rio at the forefront of experimental and national cinema. The Rio de Janeiro International Film Festival[135] has been held annually since 1999.[136]
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Rio currently brings together the main production centers of Brazilian television.[137] Major international films set in Rio de Janeiro include Blame it on Rio; the James Bond film Moonraker; the Oscar award-winning, critically acclaimed Central Station by Walter Salles, who is also one of Brazil's best-known directors; and the Oscar award-winning historical drama, Black Orpheus, which depicted the early days of Carnaval in Rio de Janeiro. Internationally famous, Brazilian-made movies illustrating a darker side of Rio de Janeiro include Elite Squad and City of God.
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Rio has many important cultural landmarks, such as the Biblioteca Nacional (National Library), one of the largest libraries in the world with collections totalling more than 9 million items; the Theatro Municipal; the National Museum of Fine Arts; the Carmen Miranda Museum; the Rio de Janeiro Botanical Garden; the Parque Lage; the Quinta da Boa Vista; the Imperial Square; the Brazilian Academy of Letters; the Museu de Arte Moderna do Rio de Janeiro; and the Natural History Museum.
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After Brazilian independence from Portugal in 1822, Rio de Janeiro quickly developed a European-style bourgeois cultural life, including numerous newspapers, in which most 19th-century novels were initially published in serial. Joaquim Manuel de Macedo's A Moreninha (1844) was perhaps the first successful novel in Brazil and inaugurates a recurrent 19th-century theme: a romantic relationship between idealistic young people in spite of cruelties of social fortune.
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The first notable work of realism focusing on the urban lower-middle class is Manuel Antônio de Almeida's Memórias de um sargento de milícias (1854), which presents a series of picaresque but touching scenes, and evokes the transformation of a town into a city with suggestive nostalgia. Romantic and realist modes both flourished through the late 19th century and often overlapped within works.[138]
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The most famous author of Rio de Janeiro, however, was Machado de Assis, who is also widely regarded as the greatest writer of Brazilian literature[139] and considered the founder of Realism in Brazil, with the publication of The Posthumous Memoirs of Bras Cubas (1881).[140] He commented on and criticized the political and social events of the city and country such as the abolition of slavery in 1888 and the transition from Empire to Republic with his numerous chronicles published in newspapers of the time.[141] Many of his short stories and novels, like Quincas Borba (1891) and Dom Casmurro (1899), are placed in Rio.
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The headquarters of the Brazilian Academy of Letters is based in Rio de Janeiro. It was satirized by the novelist Jorge Amado in Pen, Sword, Camisole. Amado, himself, went on to be one of the 40 members of the Academy.
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The Biblioteca Nacional (National Library of Brazil) ranks as one of the largest libraries in the world. It is also the largest library in all of Latin America.[142] Located in Cinelândia, the National Library was originally created by the King of Portugal, in 1810. As with many of Rio de Janeiro's cultural monuments, the library was originally off-limits to the general public. The most valuable collections in the library include: 4,300 items donated by Barbosa Machado including a precious collection of rare brochures detailing the History of Portugal and Brazil; 2,365 items from the 17th and 18th centuries that were previously owned by Antônio de Araújo de Azevedo, the "Count of Barca", including the 125-volume set of prints "Le Grand Théâtre de l'Univers;" a collection of documents regarding the Jesuítica Province of Paraguay and the "Region of Prata;" and the Teresa Cristina Maria Collection, donated by Emperor Pedro II. The collection contains 48,236 items. Individual items of special interest include a rare first edition of Os Lusíadas by Luis de Camões, published in 1584; two copies of the Mogúncia Bible; and a first edition of Handel's Messiah.[143]
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The Real Gabinete Português de Leitura (Portuguese Royal Reading Library) is located at Rua Luís de Camões, in the Centro (Downtown). The institution was founded in 1837 by a group of forty-three Portuguese immigrants, political refugees, to promote culture among the Portuguese community in the then capital of the Empire. The history of the Brazilian Academy of Letters is linked to the Real Gabinete, since some of the early meetings of the Academy were held there.[144]
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The official song of Rio de Janeiro is "Cidade Maravilhosa", which means "marvelous city". The song is considered the civic anthem of Rio, and is always the favourite song during Rio's Carnival in February. Rio de Janeiro and São Paulo, are considered the centre of the urban music movement in Brazil.[145]
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"Rio was popularised by the hit song "The Girl from Ipanema", composed by Antônio Carlos Jobim and Vinicius de Moraes and recorded by Astrud Gilberto and João Gilberto, Frank Sinatra, and Ella Fitzgerald. It is also the main key song of the bossa nova, a music genre born in Rio. A genre unique to Rio and Brazil as a whole is Funk Carioca. While samba music continues to act as the national unifying agent in Rio, Funk Carioca found a strong community following in Brazil. With its genesis in the 1970s as the modern black pop music from the United States, it evolved in the 1990s to describe a variety of electronic music associated with the current US black music scene, including hip hop, modern soul, and house music."[146]
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Brazil's return to democracy in 1985 allowed for a new music expression which promoted creativity and experimentation in expressive culture, in a wave of Rock'n'roll that swept the 80s. Lobão emerged as the most legendary rocker in Brazil.[147] Commercial and cultural imports from Europe and North America have often influenced Brazil's own cultural output. For example, the hip hop that has stemmed from New York is localized into forms of musical production such as Funk Carioca and Brazilian hip hop. Bands from Rio de Janeiro also had influence in the mid-to-late development of the Punk in Brazil, and that of Brazilian thrash metal. Democratic renewal also allowed for the recognition and acceptance of this diversification of Brazilian culture.[148]
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Some of the best singers in the history of Rio de Janeiro are Lobão, Tim Maia, Agepê, Emílio Santiago, Evandro Mesquita, Byafra, Erasmo Carlos, Elymar Santos, Gretchen, Latino, Kátia Cega, Rafael Ilha, Sérgio Mallandro e Wilson Simonal.
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Rio de Janeiro's Theatro Municipal is one of the most attractive buildings in the central area of the city. Home of one of the largest stages in Latin America and one of Brazil's best known venues for opera, ballet, and classical music, the building was inspired by the Palais Garnier, home of the Paris Opera. Construction of the Theatro Municipal began in 1905 following designs of the architect Francisco Pereira Passos. The statues on the top, of two women representing Poetry and Music, are by Rodolfo Bernardelli, and the interior is rich with furnishings and fine paintings. Inaugurated in 1909, the Teatro Municipal has close to 1,700 seats. Its interior includes turn of the century stained glass from France, ceilings of rose-colored marble and a 1,000 pound crystal bead chandelier surrounded by a painting of the "Dance of the Hours". The exterior walls of the building are dotted with inscriptions bearing the names of famous Brazilians as well as many other international celebrities.[149]
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Cidade das Artes (City of Arts) is a cultural complex in Barra da Tijuca in the Southwest Zone of Rio de Janeiro, which was originally planned to open in 2004. Formally known as "Cidade da Música" (City of Music), it was finally inaugurated at the beginning of 2013.
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The project will host the Brazilian Symphony Orchestra becoming a main center for music as will be the largest modern concert hall in South America, with 1,780 seats. The complex spans approximately 90 thousand square metres (1 million square feet) and also features a chamber music hall, three theaters, and 12 rehearsal rooms. From the terrace there is a panoramic view of the zone. The building was designed by the French architect Christian de Portzamparc and construction was funded by the city of Rio de Janeiro.
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Every 31 December, 2.5 million people gather at Copacabana Beach to celebrate New Year's in Rio de Janeiro. The crowd, mostly dressed in white, celebrates all night at the hundreds of different shows and events along the beach. It is the second largest celebration only next to the Carnival. People celebrate the New Year by sharing chilled champagne. It is considered good luck to shake the champagne bottle and spray around at midnight. Chilled champagne adds to the spirit of the festivities.[150]
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"Rock in Rio" is a music festival conceived by entrepreneur Roberto Medina for the first time in 1985, and since its creation, recognized as the largest music festival in the Latin world and the largest in the world, with 1.5 million people attending the first event, 700,000 attending the second and fourth, about 1.2 million attending the third, and about 350,000 people attending each of the 3 Lisbon events. It was originally organized in Rio de Janeiro, from where the name comes from, has become a world level event and, in 2004, had its first edition abroad in Lisbon, Portugal, before Madrid, Spain and Las Vegas, United States. The festival is considered the eighth best in the world by the specialized site Fling Festival.[151]
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Carnaval, is an annual celebration in the Roman Catholic tradition that allows merry-making and red meat consumption before the more sober 40 days of Lent penance which culminates with Holy or Passion Week and Easter. The tradition of Carnaval parades was probably influenced by the French or German courts and the custom was brought by the Portuguese or Brazilian Imperial families who had Bourbon and Austrian ancestors. Up until the time of the marchinhas, the revelry was more of a high class and Caucasian-led event. The influence of the African-Brazilian drums and music became more noticeable from the first half of the 20th century. Rio de Janeiro has many Carnaval choices, including the famous samba school (Escolas de Samba)[152] parades in the sambadrome exhibition center and the popular blocos de carnaval, street revelry, which parade in almost every corner of the city. The most famous ones are:
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In 1840, the first Carnaval was celebrated with a masked ball. As years passed, adorned floats and costumed revelers became a tradition among the celebrants. Carnaval is known as a historic root of Brazilian music.[154]
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As in the rest of Brazil, association football is the most popular sport. The city's major teams are Flamengo, Vasco da Gama, Fluminense and Botafogo. Madureira, Bangu, Portuguesa, America and Bonsucesso are small clubs. Famous players born in the city include Ronaldo and Romário.[155]
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Rio de Janeiro was one of the host cities of the 1950 and 2014 FIFA World Cups, for which on both occasions Brazil was the host nation. In 1950, the Maracanã Stadium hosted 8 matches, including all but one of the host team's matches. The Maracanã was also the location of the infamous tournament-deciding match between Uruguay and Brazil, where Brazil only needed a draw to win the final group stage and the whole tournament. Brazil ended up losing 2–1 in front of a home crowd of more than 199,000. In 2014, the Maracanã hosted seven matches, including the final, where Germany beat Argentina 1–0.[156]
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78,838 (173,850 record)
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24,880 (40,209 record)
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78,838 (173,850 record)
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46,931 (43,810 record)
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5,400 (10,762 record)
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9,564 (17,000 record)
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15,000 (18,725 record)
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13,000 (13,571 record)
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13,544 (9,861 record)
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On 2 October 2009, the International Olympic Committee selected Rio de Janeiro to host the 2016 Summer Olympics.[157] Rio made their first bid for the 1936 Summer Olympics, but lost to Berlin. They later made bids for the 2004 and 2012 Games, but failed to become a candidate city both times. Those games were awarded to Athens and London respectively.[158]
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Rio is the first Brazilian and South American city to host the Summer Olympics. Rio de Janeiro also became the first city in the southern hemisphere outside of Australia to host the games – Melbourne in 1956 and Sydney in 2000. In July 2007, Rio successfully organized and hosted the XV Pan American Games.
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Rio de Janeiro also hosted the 2011 Military World Games from 15–24 July 2011. The 2011 Military World Games were the largest military sports event ever held in Brazil, with approximately 4,900 athletes from 108 countries competing in 20 sports.[159]
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Rio de Janeiro hosted the 2016 Olympics and Paralympics. The Olympic Games were held from 5 to 21 August 2016. The Paralympics were held from 7 to 18 September 2016.
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The city has a history as host of major international sports events. The Ginásio do Maracanãzinho was the host arena for the official FIBA Basketball World Championship for its 1954 and 1963 editions. Later, the Jacarepaguá circuit in Rio de Janeiro was the site for the Formula One Brazilian Grand Prix from 1978 to 1989. Rio de Janeiro also hosted the MotoGP Brazilian Grand Prix from 1995 to 2004 and the Champ Car event from 1996 to 1999. WCT/WQS surfing championships were contested on the beaches from 1985 to 2001. The Rio Champions Cup Tennis tournament is held in the spring. As part of its preparations to host the 2007 Pan American Games, Rio built a new stadium, Estádio Olímpico João Havelange, to hold 45,000 people. It was named after Brazilian ex-FIFA president João Havelange. The stadium is owned by the city of Rio de Janeiro, but it was rented to Botafogo de Futebol e Regatas for 20 years.[160] Rio de Janeiro has also a multi-purpose arena, the HSBC Arena.
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The Brazilian Dance/Sport/Martial art Capoeira is very popular. Other popular sports are basketball, beach football, beach volleyball, Beach American Football, footvolley, surfing, kite surfing, hang gliding, motor racing, Brazilian Jiu-Jitsu, sailing, and competitive rowing. Another sport that is highly popular in beaches of Rio is called "Frescobol" (pronounced [fɾe̞ɕko̞ˈbɔw]), a type of beach tennis. Rio de Janeiro is also paradise for rock climbers, with hundreds of routes all over the city, ranging from easy boulders to highly technical big wall climbs, all inside the city. The most famous, Rio's granite mountain, the Sugar Loaf (Pão de Açúcar), is an example, with routes from the easy third grade (American 5.4, French 3) to the extremely difficult ninth grade (5.13/8b), up to 280 metres (919 feet).
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Horse racing events are held Thursday nights and weekend afternoons at Hipódromo da Gávea. An impressive place with excellent grass and dirt tracks, it runs the best horses in the nation. Hang gliding in Rio de Janeiro started in the mid-1970s and quickly proved to be well-suited for this town, because of its geography: steep mountains encounter the Atlantic Ocean, which provide excellent take-off locations and great landing zones on the beach.
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One of the most popular sea sports in the city is yachting. The main yacht clubs are in Botafogo area that extends halfway between Copacabana and the center of town. Though the most exclusive and interesting is probably the Rio Yacht club, where high society makes it a point to congregate. Most yacht clubs are open to members only and gate crashing is not easy. Copacabana is also a great place to surf, as well as "Arpoador of Ipanema" beach and "Praia dos Bandeirantes". The sea at these beaches is rough and dangerous, and the best surfers from Brazil and other sites of the world come to these beaches to prove themselves.[161]
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The city of Rio de Janeiro is served by the following airports for use:
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Military airports include:
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The Port of Rio de Janeiro is Brazil's third busiest port in terms of cargo volume, and it is the center for cruise vessels. Located on the west coast of the Guanabara Bay, it serves the States of Rio de Janeiro, São Paulo, Minas Gerais, and Espírito Santo. The port is managed by Companhia Docas de Rio de Janeiro. The Port of Rio de Janeiro covers territory from the Mauá Pier in the east to the Wharf of the Cashew in the north. The Port of Rio de Janeiro contains almost seven thousand metres (23 thousand feet) of continuous wharf and an 883-metre (2,897-foot) pier. The Companhia Docas de Rio de Janeiro administers directly the Wharf of the Gamboa general cargo terminal; the wheat terminal with two warehouses capable of moving 300 tons of grains; General Load Terminal 2 with warehouses covering over 20 thousand square metres (215 thousand square feet); and the Wharves of Are Cristovao with terminals for wheat and liquid bulk.[167]
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At the Wharf of Gamboa, leaseholders operate terminals for sugar, paper, iron and steel products. Leaseholders at the Wharf of the Cashew operate terminals for roll-on/roll-off cargoes, containers, and liquid bulk. In 2004, the Port of Rio de Janeiro handled over seven million tons of cargo on almost 1700 vessels. In 2004, the Port of Rio de Janeiro handled over two million tons of containerized cargo in almost 171 thousand TEUs. The port handled 852 thousand tons of wheat, more than 1.8 million tons of iron and steel, over a million tons of liquid bulk cargo, almost 830 thousand tons of dry bulk, over five thousand tons of paper goods, and over 78 thousand vehicles. In 2003, over 91 thousand passengers moved through the Port of Rio Janeiro on 83 cruise vessels.[168]
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In Rio de Janeiro, buses are the main form of public transportation. There are nearly 440 municipal bus lines serving over four million passengers every day, in addition to intercity lines. Although cheap and frequent, Rio's transportation policy has been moving towards trains and subway in order to reduce surface congestion and increase carrier capacity. Rio's public transportation service has been a target of many critics and the motive of the 2013's protests and manifestations that started in São Paulo and spread through the entire country. According to the people, the raise in the bus and subway fares are invalid, seeing that the amount charged is too high for the low quality of the services.
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The average amount of time people spend commuting with public transit in Rio de Janeiro, for example to and from work, on a weekday is 95 min. 32% of public transit riders, ride for more than two hours every day. The average amount of time people wait at a stop or station for public transit is 19 min, while 35% of riders wait for over 20 minutes on average every day. The average distance people usually ride in a single trip with public transit is 12.3 km, while 37% travel for over 12 km in a single direction.[169]
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Rio de Janeiro has three subway lines (Metrô Rio) with 58 kilometres (36 mi) and 41 stations plus several commuter rail lines. Future plans include building a fourth subway line to Niterói and São Gonçalo, including an underwater tunnel beneath Guanabara Bay to supplement the ferry service currently there.[170] The Metro is Rio's safest and cleanest form of public transport.[171]
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The three lines serve the city seven days a week. The first line runs from General Osório in Ipanema to Uruguai Station in Tijuca. The second line runs from Botafogo, sharing ten stations with the first line, terminating at Pavuna in northern Rio. The third connects General Osório to Jardim Oceânico Station, in the Barra da Tijuca neighborhood, where the 2016 Olympic Games were held. The Metro runs services from 05:00 am to 12:00 midnight, Monday to Saturday, and from 07:00 am to 11:00 pm Sundays and public holidays. People can buy tickets for the Metro at train stations and can either buy single tickets or rechargeable cards. People can also buy tickets for the Metro at buses that make connect places far from the Metro. Integration with buses are possible in several forms, an integrated Metro and bus ticket for a single journey is available for some lines paying an additional fee and is known as an Integração Expressa (Express Integration) and Expresso Barra, the other possibility is taking the Metro na Superfície (Surface Metro) with no additional fee.[172][173]
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SuperVia connects the city of Rio with other locations in Greater Rio de Janeiro with surface trains. It has 8 lines and 270 kilometres (168 mi), with 102 stations.[174]
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In order to improve traffic in the central zone, the prefecture started the project "Porto Maravilha" (Marvelous Port), which foresees a modern tramway system. Its lines will connect the central business district to Santos Dumont Airport, the ferry station at XV Square, the Novo Rio terminal bus station at Santo Cristo, and the future high-speed rail Leopoldina station between Rio de Janeiro and São Paulo.[175]
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In 2016, for the Olympic Games, the light rail system was inaugurated, with 28 km, 42 stations, distributed in 3 lines. The trams are the first in the world to use a combination of ground-level power supply (APS) and on-board supercapacitor energy storage (SRS), in order to eliminate overhead lines along the entire route.
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City buses cost about R$3.80 to ride. They come in both non-air conditioned (R$3.80)[176] and air conditioned versions (R$3–R$5.40).[177] The system may be relatively safe by day but less so at night.[178] Integration of bus lines has been recently implemented, allowing users to take two non-air conditioned bus rides in two hours paying just one ticket. It is necessary to have a registered electronic card (the "Bilhete Único Carioca (BUC)") in order to benefit of this system.
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Another type of local bus is called the "Frescão" (air-conditioned). These buses run several routes, the main being from Centro through Botafogo, Copacabana and Ipanema to Leblon (and vice versa), and from the International Airport to Barra, through the beach road. They are air conditioned – about 22 °C (72 °F) – more upscale/comfortable and cost between R$6.00–R$12.00.[179] However, it is only available during weekdays. The buses also run more frequently during the rush hours in the morning and evening. Going in the direction of Centro (city center), the bus can be flagged down on the beach road (buses with plaques showing "Castelo").
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The most geographically close sister city to Rio that is on the other side of Guanabara Bay is Niterói. Many people who live in Niterói, as well its neighbouring municipalities São Gonçalo and Maricá, commute to Rio de Janeiro to study and work. There are several ferry services that operate between the Rio Centro (Praça XV) and Niterói (Centro and Charitas). There is a traditional boat as well as several "fast cat" hydrofoil boats.
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One of the city neighborhoods is Paquetá Island, which can only be accessed by ferryboats or hydrofoil boats. The ferryboat to Paquetá leaves every hour, from early in the morning until around midnight. There is also a ferry to Cocotá.
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Rio de Janeiro has the oldest operating electric tramway in Latin America,[180] now mainly used by tourists and less by daily commuters. The Santa Teresa Tram, bonde (tram), or bondinho (little tram), has been preserved both as a piece of history and as a quick, fun, and inexpensive way of getting to one of the most quirky parts of the city.[181] It was designated a national historic monument in 1985.[182]:111
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The tram station, known as Largo da Carioca terminal, is near Cinelândia and the Municipal Theatre. Trams leave every 20–25 minutes between 8:00 am and 5:40 pm.[183] A ticket is R$20.00 (about US $3.75),[183] one way or return, and people pay as they pass through the barrier to the right of the entrance. The Santa Teresa Tram (known locally as the "bonde", the Brazilian Portuguese word for tram) commenced electric operation in 1896, replacing horse-drawn trams and extending the route.[182] At this time the gauge was altered to 1,100 mm (3 ft 7 5⁄16 in), which remains the case today.[182] The tramcars currently in operation are Brazilian-built, are of the cross-bench open-sided design, and are fitted with trolley poles.
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After a derailment occurred on 27 August 2011,[184] which left six dead, tram service was suspended to improve the system. The elderly tramcars, which dated from the 1950s,[185] were retired and replaced with newly built replicas that have the appearance of the old fleet but with new mechanical equipment and additional safety features;[186] delivery began in 2014.[187] The line's track was also rebuilt, and after some delays, about one-third of the line reopened in July 2015. More sections reopened later in stages, following repair of additional sections of track. The line was restored to its full pre-2011 length of 6 km (4 mi) in January 2019.[188]
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Driving in Rio de Janeiro, as in most large cities of Brazil, might not be the best choice because of the large car fleet. The city is served by a number of expressways, like Linha Vermelha, Linha Amarela, Avenida Brasil, Avenida das Américas and Avenida Infante Dom Henrique (Aterro do Flamengo); in spite of this, traffic jams are very common.[189] Because of the organization of the 2016 Olympics the city is installing four BRT systems to link Barra da Tijuca with other major neighbourhoods: TransOlimpica (between Barra and Deodoro); TransBrasil (over the Avenida Brasil expressway); TransCarioca (between Barra and the Galeão International Airport); and TransOeste (between Barra and Santa Cruz, over Avenida das Américas).
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In Brazil, most interstate transportation is done by road. A large terminal for long-distance buses is in the Santo Cristo neighborhood of Rio de Janeiro. There are also two port facilities for cargo and passenger ships (Rio de Janeiro and Sepetiba port). Rio has roads to all neighbour States. Some roads (like Via Dutra, to São Paulo, and a stretch of the BR-101 which covers the Rio-Niterói bridge) were chartered to private enterprises. The quality of the highways improved much, but was accompanied by a significant increase of the toll fees. From São Paulo: take the BR-116 (Presidente Dutra Federal Highway) or the BR-101 (Rio-Santos Federal Highway). From Belo Horizonte: BR-040. From Salvador: BR-101 or BR-324/BR-116/BR-393/BR-040.
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The city has 160 km (99 mi) of cycle paths that, wherever they exist, are very much preferable to riding in the city's traffic. Most paths run alongside beaches and extend intermittently from the Marina da Glória, Centro, through Flamengo, Copacabana and Ipanema, to Barra da Tijuca and Recreio dos Bandeirantes. six kilometres (3.7 miles) of cycle paths traverse the Tijuca National Park.[190]
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The Bike Rio began operations in October 2011. This bicycle sharing system is sponsored by the municipal government of Rio de Janeiro in partnership with Banco Itaú. The bike sharing system has 600 bicycles available at 60 rental stations in 14 neighborhoods throughout the city.[191][192]
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The dialing code for the city of Rio de Janeiro (RJ) is 21.[193]
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Rio de Janeiro is twinned with:
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Rio de Janeiro has the following partner/friendship cities:
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Rio de Janeiro is a part of the Union of Ibero-American Capital Cities.[231]
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Rio de Janeiro (/ˈriːoʊ di ʒəˈnɛəroʊ, - deɪ -, - də -/; Portuguese: [ˈʁi.u d(ʒi) ʒɐˈne(j)ɾu] (listen);[3]), or simply Rio,[4] is anchor to the Rio de Janeiro metropolitan area and the second-most populous municipality in Brazil and the sixth-most populous in the Americas. Rio de Janeiro is the capital of the state of Rio de Janeiro, Brazil's third-most populous state, after São Paulo and Minas Gerais. Part of the city has been designated as a World Heritage Site, named "Rio de Janeiro: Carioca Landscapes between the Mountain and the Sea", by UNESCO on 1 July 2012 as a Cultural Landscape.[5]
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Founded in 1565 by the Portuguese, the city was initially the seat of the Captaincy of Rio de Janeiro, a domain of the Portuguese Empire. Later, in 1763, it became the capital of the State of Brazil, a state of the Portuguese Empire. In 1808, when the Portuguese Royal Court transferred itself from Portugal to Brazil, Rio de Janeiro became the chosen seat of the court of Queen Maria I of Portugal, who subsequently, in 1815, under the leadership of her son, the Prince Regent, and future King João VI of Portugal, raised Brazil to the dignity of a kingdom, within the United Kingdom of Portugal, Brazil, and Algarves. Rio stayed the capital of the pluricontinental Lusitanian monarchy until 1822, when the War of Brazilian Independence began. This is one of the few instances in history that the capital of a colonising country officially shifted to a city in one of its colonies. Rio de Janeiro subsequently served as the capital of the independent monarchy, the Empire of Brazil, until 1889, and then the capital of a republican Brazil until 1960 when the capital was transferred to Brasília.
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Rio de Janeiro has the second largest municipal GDP in the country,[6] and 30th largest in the world in 2008,[7] estimated at about R$343 billion (nearly US$201 billion). It is headquarters to Brazilian oil, mining, and telecommunications companies, including two of the country's major corporations – Petrobras and Vale – and Latin America's largest telemedia conglomerate, Grupo Globo. The home of many universities and institutes, it is the second-largest center of research and development in Brazil, accounting for 17% of national scientific output according to 2005 data.[8] Despite the high perception of crime, the city actually has a lower incidence of crime than most state capitals in Brazil. [9]
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Rio de Janeiro is one of the most visited cities in the Southern Hemisphere and is known for its natural settings, Carnival, samba, bossa nova, and balneario beaches[10] such as Barra da Tijuca, Copacabana, Ipanema, and Leblon. In addition to the beaches, some of the most famous landmarks include the giant statue of Christ the Redeemer atop Corcovado mountain, named one of the New Seven Wonders of the World; Sugarloaf Mountain with its cable car; the Sambódromo (Sambadrome), a permanent grandstand-lined parade avenue which is used during Carnival; and Maracanã Stadium, one of the world's largest football stadiums. Rio de Janeiro was the host of the 2016 Summer Olympics and the 2016 Summer Paralympics, making the city the first South American and Portuguese-speaking city to ever host the events, and the third time the Olympics were held in a Southern Hemisphere city.[11] The Maracanã Stadium held the finals of the 1950 and 2014 FIFA World Cups, the 2013 FIFA Confederations Cup, and the XV Pan American Games.
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Europeans first encountered Guanabara Bay on 1 January 1502 (hence Rio de Janeiro, "January River"), by a Portuguese expedition under explorer Gaspar de Lemos, captain of a ship in Pedro Álvares Cabral's fleet, or under Gonçalo Coelho.[12] Allegedly the Florentine explorer Amerigo Vespucci participated as observer at the invitation of King Manuel I in the same
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expedition. The region of Rio was inhabited by the Tupi, Puri, Botocudo and Maxakalí peoples.[13]
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In 1555, one of the islands of Guanabara Bay, now called Villegagnon Island, was occupied by 500 French colonists under the French admiral Nicolas Durand de Villegaignon. Consequently, Villegagnon built Fort Coligny on the island when attempting to establish the France Antarctique colony.
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The city of Rio de Janeiro proper was founded by the Portuguese on 1 March 1565 and was named São Sebastião do Rio de Janeiro, in honour of St. Sebastian, the saint who was the namesake and patron of the Portuguese then-monarch Sebastião. Rio de Janeiro was the name of Guanabara Bay. Until early in the 18th century, the city was threatened or invaded by several mostly French pirates and buccaneers, such as Jean-François Duclerc and René Duguay-Trouin.[14]
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In the late 17th century, still during the Sugar Era, the Bandeirantes discovered gold and diamonds in the neighbouring captaincy of Minas Gerais, thus Rio de Janeiro became a much more practical port for exporting wealth (gold, precious stones, besides the sugar) than Salvador, Bahia, much farther northeast. On 27 January 1763,[15] the colonial administration in Portuguese America was moved from Salvador to Rio de Janeiro. The city remained primarily a colonial capital until 1808, when the Portuguese royal family and most of the associated Lisbon nobles, fleeing from Napoleon's invasion of Portugal, moved to Rio de Janeiro.
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The kingdom's capital was transferred to the city, which, thus, became the only European capital outside of Europe. As there was no physical space or urban structure to accommodate hundreds of noblemen who arrived suddenly, many inhabitants were simply evicted from their homes.[16] In the first decade, several educational establishments were created, such as the Military Academy, the Royal School of Sciences, Arts and Crafts and the Imperial Academy of Fine Arts, as well as the National Library of Brazil – with the largest collection in Latin America[17] – and The Botanical Garden. The first printed newspaper in Brazil, the Gazeta do Rio de Janeiro, came into circulation during this period.[18] When Brazil was elevated to Kingdom in 1815, it became the capital of the United Kingdom of Portugal, Brazil and the Algarves until the return of the Portuguese Royal Family to Lisbon in 1821, but remained as capital of the Kingdom of Brazil.[19]
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From the colonial period until the first independent era, Rio de Janeiro was a city of slaves. There was a large influx of African slaves to Rio de Janeiro: in 1819, there were 145,000 slaves in the captaincy. In 1840, the number of slaves reached 220,000 people.[20] The Port of Rio de Janeiro was the largest port of slaves in America.[21]
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When Prince Pedro proclaimed the independence of Brazil in 1822, he decided to keep Rio de Janeiro as the capital of his new empire while the place was enriched with sugar cane agriculture in the Campos region and, especially, with the new coffee cultivation in the Paraíba Valley.[19] In order to separate the province from the capital of the Empire, the city was converted, in the year of 1834, in Neutral Municipality, passing the province of Rio de Janeiro to have Niterói as capital.[19]
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As a political centre of the country, Rio concentrated the political-partisan life of the Empire. It was the main stage of the abolitionist and republican movements in the last half of the 19th century.[19] At that time the number of slaves was drastically reduced and the city was developed, with modern drains, animal trams, train stations crossing the city, gas and electric lighting, telephone and telegraph wiring, water and river plumbing.[19] Rio continued as the capital of Brazil after 1889, when the monarchy was replaced by a republic.
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On 6 February 1889 the Bangu Textile Factory was founded, with the name of Industrial Progress Company of Brazil (Companhia Progresso Industrial do Brasil). The factory was officially opened on 8 March 1893, in a complex with varying architectural styles like Italianate, Neo-Gothic and a tower in Mansard Roof style. After the opening in 1893, workers from Great Britain arrived in Bangu to work in the textile factory. The old farms became worker villages with red bricks houses, and a neo-gothic church was created, which still exists as the Saint Sebastian and Saint Cecilia Parish Church. Street cinemas and cultural buildings also appeared. In May 1894, Thomas Donohoe, a British worker from Busby, Scotland, arrived in Bangu.[22]
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Donohoe was horrified to discover that there was absolutely no knowledge of football among Brazilians. So he wrote to his wife, Elizabeth, asking her to bring a football when she joined him. And shortly after her arrival, in September 1894, the first football match in Brazil took place in the field beside the textile factory. It was a five-a-side match between British workers, and took place six months before the first game organized by Charles Miller in São Paulo. However, the Bangu Football Club was not formally created until 1904.[23]
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At the time Brazil's Old Republic was established, the city lacked urban planning and sanitation, which helped spread several diseases, such as yellow fever, dysentery, variola, tuberculosis and even black death. Pereira Passos, who was named mayor in 1902, imposed reforms to modernize the city, demolishing the cortiços where most of the poor population lived. These people, mostly descendants of slaves, then moved to live in the city's hills, creating the first favelas.[24] Inspired by the city of Paris, Passos built the Municipal Theatre, the National Museum of Fine Arts and the National Library in the city's center; brought electric power to Rio and created larger avenues to adapt the city to automobiles.[25] Passos also named Dr. Oswaldo Cruz as Director General of Public Health. Cruz's plans to clean the city of diseases included compulsory vaccination of the entire population and forced entry into houses to kill mosquitos and rats. The people of city rebelled against Cruz's policy, in what would be known as the Vaccine Revolt.[26]
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In 1910, Rio saw the Revolt of the Lash, where Afro-Brazilian crew members in the Brazilian Navy mutinied against the heavy use of corporal punishment, which was similar to the punishment slaves received. The mutineers took control of the battleship Minas Geraes and threatened to fire on the city. Another military revolt occurred in 1922, the 18 of the Copacabana Fort revolt, a march against the Old Republic's coronelism and café com leite politics. This revolt marked the beginning of Tenentism, a movement that resulted in the Brazilian Revolution of 1930 that started the Vargas Era.
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Until the early years of the 20th century, the city was largely limited to the neighbourhood now known as the historic city centre (see below), on the mouth of Guanabara Bay. The city's centre of gravity began to shift south and west to the so-called Zona Sul (South Zone) in the early part of the 20th century, when the first tunnel was built under the mountains between Botafogo and the neighbourhood that is now known as Copacabana. Expansion of the city to the north and south was facilitated by the consolidation and electrification of Rio's streetcar transit system after 1905.[27] Botafogo's natural environment, combined with the fame of the Copacabana Palace Hotel, the luxury hotel of the Americas in the 1930s, helped Rio to gain the reputation it still holds today as a beach party town. This reputation has been somewhat tarnished in recent years by favela violence resulting from the narcotics trade and militias.[28]
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Plans for moving the nation's capital city from Rio de Janeiro to the centre of Brazil had been occasionally discussed, and when Juscelino Kubitschek was elected president in 1955, it was partially on the strength of promises to build a new capital.[29] Though many thought that it was just campaign rhetoric, Kubitschek managed to have Brasília and a new Federal District built, at great cost, by 1960. On 21 April of that year the capital of Brazil was officially moved to Brasília. The territory of the former Federal District became its own state, Guanabara, after the bay that borders it to the east, encompassing just the city of Rio de Janeiro. After the 1964 coup d'état that installed a military dictatorship, the city-state was the only state left in Brazil to oppose the military. Then, in 1975, a presidential decree known as "The Fusion" removed the city's federative status and merged it with the State of Rio de Janeiro, with the city of Rio de Janeiro replacing Niterói as the state's capital, and establishing the Rio de Janeiro Metropolitan Region.[30]
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In 1992, Rio hosted the Earth Summit, a United Nations conference to fight environmental degradation. Twenty years later, in 2012, the city hosted another conference on sustainable development, named United Nations Conference on Sustainable Development. The city hosted the World Youth Day in 2013, the second World Youth Day in South America and first in Brazil. In the sports field, Rio de Janeiro was the host of the 2007 Pan American Games and the 2014 FIFA World Cup Final. On 2 October 2009, the International Olympic Committee announced that Rio de Janeiro would host the 2016 Olympic Games and the 2016 Paralympic Games, beating competitors Chicago, Tokyo, and Madrid. The city became the first South American city to host the event and the second Latin American city (after Mexico City in 1968) to host the Games.
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Rio de Janeiro is on the far western part of a strip of Brazil's Atlantic coast (between a strait east to Ilha Grande, on the Costa Verde, and the Cabo Frio), close to the Tropic of Capricorn, where the shoreline is oriented east–west. Facing largely south, the city was founded on an inlet of this stretch of the coast, Guanabara Bay (Baía de Guanabara), and its entrance is marked by a point of land called Sugar Loaf (Pão de Açúcar) – a "calling card" of the city.[31]
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The Centre (Centro), the core of Rio, lies on the plains of the western shore of Guanabara Bay. The greater portion of the city, commonly referred to as the North Zone (Zona Norte, Rio de Janeiro [pt]), extends to the northwest on plains composed of marine and continental sediments and on hills and several rocky mountains. The South Zone (Zona Sul) of the city, reaching the beaches fringing the open sea, is cut off from the Centre and from the North Zone by coastal mountains. These mountains and hills are offshoots of the Serra do Mar to the northwest, the ancient gneiss-granite mountain chain that forms the southern slopes of the Brazilian Highlands. The large West Zone (Zona Oeste), long cut off by the mountainous terrain, had been made more easily accessible to those on the South Zone by new roads and tunnels by the end of the 20th century.[32]
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The population of the city of Rio de Janeiro, occupying an area of 1,182.3 square kilometres (456.5 sq mi),[33] is about 6,000,000.[34] The population of the greater metropolitan area is estimated at 11–13.5 million. Residents of the city are known as cariocas. The official song of Rio is "Cidade Maravilhosa", by composer André Filho.
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The city has parks and ecological reserves such as the Tijuca National Park, the world's first urban forest and UNESCO Environmental Heritage and Biosphere Reserve; Pedra Branca State Park, which houses the highest point of Rio de Janeiro, the peak of Pedra Branca; the Quinta da Boa Vista complex; the Botanical Garden;[35] Rio's Zoo; Parque Lage; and the Passeio Público, the first public park in the Americas.[36] In addition the Flamengo Park is the largest landfill in the city, extending from the center to the south zone, and containing museums and monuments, in addition to much vegetation.
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Due to the high concentration of industries in the metropolitan region, the city has faced serious problems of environmental pollution. The Guanabara Bay has lost mangrove areas and suffers from residues from domestic and industrial sewage, oils and heavy metals. Although its waters renew when they reach the sea, the bay is the final receiver of all the tributaries generated along its banks and in the basins of the many rivers and streams that flow into it. The levels of particulate matter in the air are twice as high as that recommended by the World Health Organization, in part because of the large numbers of vehicles in circulation.[37]
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The waters of Sepetiba Bay are slowly following the path traced by Guanabara Bay, with sewage generated by a population of the order of 1.29 million inhabitants being released without treatment in streams or rivers. With regard to industrial pollution, highly toxic wastes, with high concentrations of heavy metals – mainly zinc and cadmium – have been dumped over the years by factories in the industrial districts of Santa Cruz, Itaguaí and Nova Iguaçu, constructed under the supervision of State policies.[38]
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The Marapendi lagoon and the Rodrigo de Freitas Lagoon have suffered with the leniency of the authorities and the growth in the number of apartment buildings close by. The illegal discharge of sewage and the consequent deaths of algae diminished the oxygenation of the waters, causing fish mortality.[39][40]
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There are, on the other hand, signs of decontamination in the lagoon made through a public-private partnership established in 2008 to ensure that the lagoon waters will eventually be suitable for bathing. The decontamination actions involve the transfer of sludge to large craters present in the lagoon itself, and the creation of a new direct and underground connection with the sea, which will contribute to increase the daily water exchange between the two environments. However, during the Olympics the lagoon hosted the rowing competitions and there were numerous concerns about potential infection resulting from human sewage.[41]
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Rio has a tropical savanna climate (Aw) that closely borders a tropical monsoon climate (Am) according to the Köppen climate classification, and is often characterized by long periods of heavy rain between December and March.[42] The city experiences hot, humid summers, and warm, sunny winters. In inland areas of the city, temperatures above 40 °C (104 °F) are common during the summer, though rarely for long periods, while maximum temperatures above 27 °C (81 °F) can occur on a monthly basis.
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Along the coast, the breeze, blowing onshore and offshore, moderates the temperature. Because of its geographic situation, the city is often reached by cold fronts advancing from Antarctica, especially during autumn and winter, causing frequent weather changes. In summer there can be strong rains, which have, on some occasions, provoked catastrophic floods and landslides. The mountainous areas register greater rainfall since they constitute a barrier to the humid wind that comes from the Atlantic.[43] The city has had rare frosts in the past. Some areas within Rio de Janeiro state occasionally have falls of snow grains and ice pellets (popularly called granizo) and hail. [44][45][46]
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Drought is very rare, albeit bound to happen occasionally given the city's strongly seasonal tropical climate. The Brazilian drought of 2014–2015, most severe in the Southeast Region and the worst in decades, affected the entire metropolitan region's water supply (a diversion from the Paraíba do Sul River to the Guandu River is a major source for the state's most populous mesoregion). There were plans to divert the Paraíba do Sul to the Sistema Cantareira (Cantareira system) during the water crisis of 2014 in order to help the critically drought-stricken Greater São Paulo area. However, availability of sufficient rainfall to supply tap water to both metropolitan areas in the future is merely speculative.[47][48][49]
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Roughly in the same suburbs (Nova Iguaçu and surrounding areas, including parts of Campo Grande and Bangu) that correspond to the location of the March 2012, February–March 2013 and January 2015 pseudo-hail (granizo) falls, there was a tornado-like phenomenon in January 2011, for the first time in the region's recorded history, causing structural damage and long-lasting blackouts, but no fatalities.[50][51] The World Meteorological Organization has advised that Brazil, especially its southeastern region, must be prepared for increasingly severe weather occurrences in the near future, since events such as the catastrophic January 2011 Rio de Janeiro floods and mudslides are not an isolated phenomenon. In early May 2013, winds registering above 90 km/h (56 mph) caused blackouts in 15 neighborhoods of the city and three surrounding municipalities, and killed one person.[52] Rio saw similarly high winds (about 100 km/h (62 mph)) in January 2015.[53] The average annual minimum temperature is 21 °C (70 °F),[54] the average annual maximum temperature is 27 °C (81 °F),[55] and the average annual temperature is 24 °C (75 °F).[56] The average yearly precipitation is 1,069 mm (42.1 in).[57]
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Temperature also varies according to elevation, distance from the coast, and type of vegetation or land use. During the winter, cold fronts and dawn/morning sea breezes bring mild temperatures; cold fronts, the Intertropical Convergence Zone (in the form of winds from the Amazon Forest), the strongest sea-borne winds (often from an extratropical cyclone) and summer evapotranspiration bring showers or storms. Thus the monsoon-like climate has dry and mild winters and springs, and very wet and warm summers and autumns. As a result, temperatures over 40 °C (104 °F), that may happen about year-round but are much more common during the summer, often mean the actual temperature feeling is over 50 °C (122 °F), when there is little wind and the relative humidity percentage is high.[58][59][60][61]
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Rio de Janeiro is second only to Cuiabá as the hottest Brazilian state capital outside Northern and Northeastern Brazil; temperatures below 14 °C (57 °F) occur yearly, while those lower than 11 °C (52 °F) happen less often. The phrase, fazer frio ("making cold", i.e. "the weather is getting cold"), usually refers to temperatures going below 21 °C (70 °F), which is possible year-round and is commonplace in mid-to-late autumn, winter and early spring nights.
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Between 1961 and 1990, at the INMET (Brazilian National Institute of Meteorology) conventional station in the neighborhood of Saúde, the lowest temperature recorded was 10.1 °C (50.2 °F) in October 1977,[62] and the highest temperature recorded was 39 °C (102.2 °F) in December 1963.[63] The highest accumulated rainfall in 24 hours was 167.4 mm (6.6 in) in January 1962.[64] However, the absolute minimum temperature ever recorded at the INMET Jacarepaguá station was 3.8 °C (38.8 °F) in July 1974,[62] while the absolute maximum was 43.2 °C (110 °F) on 26 December 2012[65] in the neighborhood of the Santa Cruz station. The highest accumulated rainfall in 24 hours, 186.2 mm (7.3 in), was recorded at the Santa Teresa station in April 1967.[64] The lowest temperature ever registered in the 21st century was 8.1 °C (46.6 °F) in Vila Militar, July 2011.[66]
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The city is commonly divided into the historic center (Centro); the tourist-friendly wealthier South Zone (Zona Sul); the residential less wealthy North Zone (Zona Norte); peripheries in the West Zone (Zona Oeste), among them Santa Cruz, Campo Grande and the wealthy newer Barra da Tijuca district.
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Centro or Downtown is the historic core of the city, as well as its financial centre. Sites of interest include the Paço Imperial, built during colonial times to serve as a residence for the Portuguese governors of Brazil; many historic churches, such as the Candelária Church (the former cathedral), São Jose, Santa Lucia, Nossa Senhora do Carmo, Santa Rita, São Francisco de Paula, and the monasteries of Santo Antônio and São Bento. The Centro also houses the modern concrete Rio de Janeiro Cathedral. Around the Cinelândia square, there are several landmarks of the Belle Époque of Rio, such as the Municipal Theatre and the National Library building.
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Among its several museums, the Museu Nacional de Belas Artes (National Museum of Fine Arts) and the Museu Histórico Nacional (National Historical Museum) are the most important. Other important historical attractions in central Rio include its Passeio Público, an 18th-century public garden. Major streets include Avenida Rio Branco and Avenida Vargas, both constructed, in 1906 and 1942 respectively, by destroying large swaths of the colonial city. A number of colonial streets, such as Rua do Ouvidor and Uruguaiana, have long been pedestrian spaces, and the popular Saara shopping district has been pedestrianized more recently. Also located in the center is the traditional neighbourhood called Lapa, an important bohemian area frequented by both townspeople and tourists.
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The South Zone of Rio de Janeiro (Zona Sul) is composed of several districts, among which are São Conrado, Leblon, Ipanema, Arpoador, Copacabana, and Leme, which compose Rio's famous Atlantic beach coastline. Other districts in the South Zone are Glória, Catete, Flamengo, Botafogo, and Urca, which border Guanabara Bay, and Santa Teresa, Cosme Velho, Laranjeiras, Humaitá, Lagoa, Jardim Botânico, and Gávea. It is the wealthiest part of the city and the best known overseas; the neighborhoods of Leblon and Ipanema, in particular, have the most expensive real estate in all of South America.
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The neighbourhood of Copacabana beach hosts one of the world's most spectacular New Year's Eve parties ("Reveillon"), as more than two million revelers crowd onto the sands to watch the fireworks display. From 2001, the fireworks have been launched from boats, to improve the safety of the event.[70]
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To the north of Leme, and at the entrance to Guanabara Bay, is the district of Urca and the Sugarloaf Mountain ('Pão de Açúcar'), whose name describes the famous mountain rising out of the sea. The summit can be reached via a two-stage cable car trip from Praia Vermelha, with the intermediate stop on Morro da Urca. It offers views of the city second only to Corcovado mountain. Hang gliding is a popular activity on the Pedra Bonita (literally, "Beautiful Rock"). After a short flight, gliders land on the Praia do Pepino (Pepino, or "cucumber", Beach) in São Conrado.
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Since 1961, the Tijuca National Park (Parque Nacional da Tijuca), the largest city-surrounded urban forest and the second largest urban forest in the world, has been a National Park. The largest urban forest in the world is the Floresta da Pedra Branca (White Rock Forest), which is located in the West Zone of Rio de Janeiro.[71]
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The Pontifical Catholic University of Rio (Pontifícia Universidade Católica do Rio de Janeiro or PUC-Rio), Brazil's top private university, is located at the edge of the forest, in the Gávea district. The 1984 film Blame It on Rio was filmed nearby, with the rental house used by the story's characters sitting at the edge of the forest on a mountain overlooking the famous beaches. In 2012, CNN elected Ipanema the best city beach in the world.[72]
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The North Zone (Zona Norte) begins at Grande Tijuca (the middle class residential and commercial bairro of Tijuca), just west of the city center, and sprawls for miles inland until Baixada Fluminense and the city's Northwest.
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This region is home to the Maracanã stadium (located in Grande Tijuca), once the world's highest capacity football venue, able to hold nearly 199,000 people, as it did for the World Cup final of 1950. More recently its capacity has been reduced to conform with modern safety regulations and the stadium has introduced seating for all fans. Currently undergoing reconstruction, it has now the capacity for 90,000; it will eventually hold around 80,000 people. Maracanã was the site for the Opening and Closing Ceremonies and football competition of the 2007 Pan American Games; hosted the final match of the 2014 FIFA World Cup, the Opening and Closing Ceremonies and the football matches of the 2016 Summer Olympics.
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Besides Maracanã, the North Zone of Rio also has other tourist and historical attractions, such "Nossa Senhora da Penha de França Church", the Christ the Redeemer (statue) with its stairway built into the rock bed, 'Manguinhos', the home of Instituto Oswaldo Cruz, a centenarian biomedical research institution with a main building fashioned like a Moorish palace, and the Quinta da Boa Vista, the park where the historic Imperial Palace is located. Nowadays, the palace hosts the National Museum, specialising in Natural History, Archaeology, and Ethnology. The International Airport of Rio de Janeiro (Galeão – Antônio Carlos Jobim International Airport, named after the famous Brazilian musician Antônio Carlos Jobim), the main campus of the Federal University of Rio de Janeiro at the Fundão Island, and the State University of Rio de Janeiro, in Maracanã, are also located in the Northern part of Rio.
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This region is also home to most of the samba schools of Rio de Janeiro such as Mangueira, Salgueiro, Império Serrano, Unidos da Tijuca, Imperatriz Leopoldinense, among others. Some of the main neighbourhoods of Rio's North Zone are Alto da Boa Vista which shares the Tijuca Rainforest with the South and Southwest Zones; Tijuca, Vila Isabel, Méier, São Cristovão, Madureira, Penha, Manguinhos, Fundão, Olaria among others. Many of Rio de Janeiro's roughly 1000 slums, or favelas, are located in the North Zone.[73] The favelas resemble the slums of Paris, New York or other major cities in the 19th and early 20th centuries in the United States and Europe, or similar neighborhoods in present underdeveloped countries.
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West Zone (Zona Oeste) of Rio de Janeiro is a vaguely defined area that covers some 50% of the city's entire area, including Barra da Tijuca and Recreio dos Bandeirantes neighborhoods. The West Side of Rio has many historic sites because of the old "Royal Road of Santa Cruz" that crossed the territory in the regions of Realengo, Bangu, and Campo Grande, finishing at the Royal Palace of Santa Cruz in the Santa Cruz region. The highest peak of the city of Rio de Janeiro is the Pedra Branca Peak (Pico da Pedra Branca) inside the Pedra Branca State Park. It has an altitude of 1024m. The Pedra Branca State Park (Parque Estadual da Pedra Branca)[74] is the biggest urban state park in the world comprising 17 neighborhoods in the west side, being a "giant lung" in the city with trails,[75] waterfalls and historic constructions like an old aqueduct in the Colônia Juliano Moreira[76] in the neighborhood of Taquara and a dam in Camorim. The park has three principal entrances: the main one is in Taquara called Pau da Fome Core, another entrance is the Piraquara Core in Realengo and the last one is the Camorim Core, considered the cultural heritage of the city.
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Santa Cruz and Campo Grande Region have exhibited economic growth, mainly in the Campo Grande neighborhood. Industrial enterprises are being built in lower and lower middle class residential Santa Cruz, one of the largest and most populous of Rio de Janeiro's neighbourhoods, most notably Ternium Brasil, a new steel mill with its own private docks on Sepetiba Bay, which is planned to be South America's largest steel works.[77] A tunnel called Túnel da Grota Funda, opened in 2012, creating a public transit facility between Barra da Tijuca and Santa Cruz, lessening travel time to the region from other areas of Rio de Janeiro.[78]
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This is an elite area of the West Zone of the city of Rio de Janeiro. It includes Barra da Tijuca, Recreio dos Bandeirantes, Vargem Grande, Vargem Pequena, Grumari, Itanhangá, Camorim and Joá. Westwards from the older zones of Rio, Barra da Tijuca is a flat complex of barrier islands of formerly undeveloped coastal land, which constantly experiences new constructions and developments. It remains an area of accelerated growth, attracting some of the richer sectors of the population as well as luxury companies. High rise flats and sprawling shopping centers give the area a far more modern feel than the crowded city centre.
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The urban planning of the area, completed in the late 1960s, mixes zones of single-family houses with residential skyscrapers. The beaches of Barra da Tijuca are also popular with the residents from other parts of the city. One of the most famous hills in the city is the 842-metre-high (2,762-foot) Pedra da Gávea (Crow's nest Rock) bordering the South Zone. On the top of its summit is a huge rock formation (some, such as Erich von Däniken in his 1973 book, In Search of Ancient Gods, claim it to be a sculpture) resembling a sphinx-like, bearded head that is visible for many kilometres around.
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According to the 2010 IBGE Census, there were 5,940,224 people residing in the city of Rio de Janeiro.[79] The census revealed the following numbers: 3,239,888 White people (51.2%), 2,318,675 Pardo (multiracial) people (36.5%), 708,148 Black people (11.5%), 45,913 Asian people (0.7%), 5,981 Amerindian people (0.1%).[80] The population of Rio de Janeiro was 53.2% female and 46.8% male.[80]
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In 2010, the city of Rio de Janeiro was the 2nd most populous city in Brazil, after São Paulo.[81]
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Different ethnic groups contributed to the formation of the population of Rio de Janeiro. Before European colonization, there were at least seven different indigenous peoples speaking 20 languages in the region. A part of them joined the Portuguese and the other the French. Those who joined the French were then exterminated by the Portuguese, while the other part was assimilated.[82]
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Rio de Janeiro is home to the largest Portuguese population outside of Lisbon in Portugal.[83] After independence from Portugal, Rio de Janeiro became a destination for hundreds of thousands of immigrants from Portugal, mainly in the early 20th century. The immigrants were mostly poor peasants who subsequently found prosperity in Rio as city workers and small traders.[84] The Portuguese cultural influence is still seen in many parts of the city (and many other parts of the state of Rio de Janeiro), including architecture and language. Most Brazilians with some cultural contact with Rio know how to easily differentiate between the local dialect, fluminense, and other Brazilian dialects.
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People of Portuguese ancestry predominate in most of the state. The Brazilian census of 1920 showed that 39.7% of the Portuguese who lived in Brazil lived in Rio de Janeiro. Including all of the Rio de Janeiro, the proportion raised to 46.3% of the Portuguese who lived in Brazil. The numerical presence of the Portuguese was extremely high, accounting for 72% of the foreigners who lived in the capital. Portuguese born people accounted for 20.4% of the population of Rio, and those with a Portuguese father or a Portuguese mother accounted for 30.8%. In other words, native born Portuguese and their children accounted for 51.2% of the inhabitants of Rio, or a total of 267,664 people in 1890.[86]
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The black community was formed by residents whose ancestors had been brought as slaves, mostly from Angola and Mozambique, as well by people of Angolan, Mozambican and West African descent who moved to Rio from other parts of Brazil. The samba (from Bahia with Angolan influence) and the famous local version of the carnival (from Europe) first appeared under the influence of the black community in the city.
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Today, nearly half of the city's population is by phenotype perceptibly black or part black.[88] A large majority has some recent sub-Saharan ancestor. White in Brazil is defined more by having a European-looking phenotype rather than ancestry, and two full siblings can be of different "racial" categories[89] in a skin color and phenotype continuum from pálido (branco) or fair-skinned, through branco moreno or swarthy Caucasian, mestiço claro or lighter skinned multiracial, pardo (mixed race) to negro or black. Pardo, for example, in popular usage includes those who are caboclos (mestizos), mulatos (mulattoes), cafuzos (zambos), juçaras (archaic term for tri-racials) and westernized Amerindians (which are called caboclos as well), being more of a skin color rather than a racial group in particular.
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As a result of the influx of immigrants to Brazil from the late 19th to the early 20th century, also found in Rio de Janeiro and its metropolitan area are communities of Levantine Arabs who are mostly Christian or Irreligious, Spaniards, Italians, Germans, Japanese,[90] Jews, and people from other parts of Brazil. The main waves of internal migration came from people of African, mixed or older Portuguese (as descendants of early settlers) descent from Minas Gerais and people of Eastern European, Swiss, Italian, German, Portuguese and older Portuguese-Brazilian heritage from Espírito Santo in the early and mid-20th century, together with people with origins in Northeastern Brazil, in the mid-to-late and late 20th century, as well some in the early 21st century (the latter more directed to peripheries than the city's core).
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According to an autosomal DNA study from 2009, conducted on a school in the poor suburb of Rio de Janeiro, the "pardos" there were found to be on average about 80% European, and the "whites" (who thought of themselves as "very mixed") were found to carry very little Amerindian and/or African admixtures. The results of the tests of genomic ancestry are quite different from the self made estimates of European ancestry. In general, the test results showed that European ancestry is far more important than the students thought it would be. The "pardos" for example thought of themselves as ⅓ European, ⅓ African and ⅓ Amerindian before the tests, and yet their ancestry on average reached 80% European.[92][93] Other studies showed similar results[91][94]
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Rio de Janeiro is the second largest city in Brazil (after São Paulo) and has a rapidly expanding population and rapidly growing area due to rapid urbanization.
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The Rio de Janeiro metropolitan area, according to 2009 research from Fundação Getúlio Vargas (known as Novo Mapa das Religiões), is mostly Catholic (51.1%). Rio de Janeiro city also ranks fifth among Brazilian state capital cities in the percentage of its population that is irreligious (13.3%), barely changing since 2000 (the first-ranked, Boa Vista, has 21.2% irreligious).[97][98] It is also the Brazilian state capital with the greatest percentage of Spiritists (now about 4–5%), and with substantial numbers in Afro-Brazilian religions and Eastern religions.
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There are significant disparities between the rich and the poor in Rio de Janeiro, and different socioeconomic groups are largely segregated into different neighborhoods.[100] Although the city clearly ranks among the world's major metropolises, large numbers live in slums known as favelas, where 95% of the population are poor, compared to 40% in the general population.[101]
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There have been a number of government initiatives to counter this problem, from the removal of the population from favelas to housing projects such as Cidade de Deus to the more recent approach of improving conditions in the favelas and bringing them up to par with the rest of the city, as was the focus of the "Favela Bairro" program and deployment of Pacifying Police Units.
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Rio has more people living in slums than any other city in Brazil, according to the 2010 Census.[102] More than 1,500,000 people live in its 763 favelas, 22% of Rio's total population. São Paulo, the largest city in Brazil, has more favelas (1,020) in sheer numbers, but proportionally has fewer people living in favelas than Rio.
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Rio de Janeiro has the second largest GDP of any city in Brazil, surpassed only by São Paulo. According to the IBGE, it was approximately US$201 billion in 2008, equivalent to 5.1% of the national total. Taking into consideration the network of influence exerted by the urban metropolis (which covers 11.3% of the population), this share in GDP rises to 14.4%, according to a study released in October 2008 by the IBGE.[104]
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Greater Rio de Janeiro, as perceived by the IBGE, has a GDP of US$187 billion, constituting the second largest hub of national wealth. Per capita GDP is US$11,786.[105] It concentrates 68% of the state's economic strength and 7.9% of all goods and services produced in the country.[106] The services sector comprises the largest portion of GDP (65.5%), followed by commerce (23.4%), industrial activities (11.1%) and agriculture (0.1%).[107][108]
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Benefiting from the federal capital position it had for a long period (1763–1960), the city became a dynamic administrative, financial, commercial and cultural center. Rio de Janeiro became an attractive place for companies to locate when it was the capital of Brazil, as important sectors of society and of the government were present in the city, even when their factories were located in other cities or states. The city was chosen as headquarters for state-owned companies such as Petrobras, Eletrobras, Caixa Econômica Federal, National Economic and Social Development Bank and Vale (which was privatized in the 1990s). The Rio de Janeiro Stock Exchange (BVRJ), which currently trades only government securities, was the first stock exchange founded in Brazil in 1845. Despite the transfer of the capital to Brasília in 1960, many of these headquarters remained within the Rio metropolitan area.
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The off-shore oil exploration in the Campos Basin began in 1968 and became the main site for oil production of Brazil. This caused many oil and gas companies to be based in Rio de Janeiro, such as the Brazilian branches of Shell, EBX and Esso. For many years Rio was the second largest industrial hub of Brazil,[109] with oil refineries, shipbuilding industries, steel, metallurgy, petrochemicals, cement, pharmaceutical, textile, processed foods and furniture industries.
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Major international pharmaceutical companies have their Brazilian headquarters in Rio such as: Merck, Roche, Arrow, Darrow, Baxter, Mayne, and Mappel. A newer electronics and computer sector has been added to the more-established industries. Construction, also an important activity, provides a significant source of employment for large numbers of unskilled workers and is buoyed by the number of seasonal residents who build second homes in the Greater Rio de Janeiro area.
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Rio is an important financial centre, second only to São Paulo in volume of business. Its securities market, although declining in significance relative to São Paulo, is still of major importance. Recent decades have seen a sharp transformation in its economic profile, which is becoming more and more one of a major national hub of services and businesses.[110] The city is the headquarters of large telecom companies, such as Intelig, Oi and Embratel. Major Brazilian entertainment and media organizations are based in Rio de Janeiro like Organizações Globo and also some of Brazil's major newspapers: Jornal do Brasil, O Dia, and Business Rio.
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Tourism and entertainment are other key aspects of the city's economic life. The city is the nation's top tourist attraction for both Brazilians and foreigners.[111]
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To attract industry, the state government has designated certain areas on the outskirts of the city as industrial districts where infrastructure is provided and land sales are made under special conditions. Oil and natural gas from fields off the northern coast of Rio de Janeiro state are a major asset used for developing manufacturing activities in Rio's metropolitan area, enabling it to compete with other major cities for new investment in industry.[112]
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Owing to the proximity of Rio's port facilities, many of Brazil's export-import companies are headquartered in the city. In Greater Rio, which has one of the highest per capita incomes in Brazil, retail trade is substantial. Many of the most important retail stores are located in the Centre, but others are scattered throughout the commercial areas of the other districts, where shopping centres, supermarkets, and other retail businesses handle a large volume of consumer trade.[113]
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Rio de Janeiro is (as of 2014[update]) the second largest exporting municipality in Brazil. Annually, Rio exported a total of $7.49B (USD) worth of goods.[114] The top three goods exported by the municipality were crude petroleum (40%), semi finished iron product (16%), and semi finished steel products (11%).[115] Material categories of mineral products (42%) and metals (29%) make up 71% of all exports from Rio.[116]
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Compared to other cities, Rio de Janeiro's economy is the 2nd largest in Brazil, behind São Paulo, and the 30th largest in the world with a GDP of R$ 201,9 billion in 2010. The per capita income for the city was R$22,903 in 2007 (around US$14,630).[117] Largely because of the strength of Brazil's currency at the time, Mercer's city rankings of cost of living for expatriate employees, reported that Rio de Janeiro ranked 12th among the most expensive cities in the world in 2011, up from the 29th position in 2010, just behind São Paulo (ranked 10th), and ahead of London, Paris, Milan, and New York City.[118][119] Rio also had the most expensive hotel rates in Brazil, and the daily rate of its five star hotels were the second most expensive in the world after only New York City.[120]
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Rio de Janeiro is Brazil's primary tourist attraction and resort. It receives the most visitors per year of any city in South America with 2.82 million international tourists a year.[121]
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The city boasts world-class hotels, like Belmond Copacabana Palace, approximately 80 kilometres of beaches and the famous Corcovado, Sugarloaf mountains and Maracanã Stadium. While the city had in past had a thriving tourism sector, the industry entered a decline in the last quarter of the 20th century. Annual international airport arrivals dropped from 621,000 to 378,000 and average hotel occupancy dropped to 50% between 1985 and 1993.[122]
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The fact that Brasília replaced Rio de Janeiro as the Brazilian capital in 1960 and that São Paulo replaced Rio as the country's commercial, financial and main cultural center during the mid-20th century, has also been cited as a leading cause of the decline.[123]
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Rio de Janeiro's government has since undertaken to modernise the city's economy, reduce its chronic social inequalities, and improve its commercial standing as part of an initiative for the regeneration of the tourism industry.[123]
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The city is an important global LGBT destination, 1 million LGBT tourists visiting each year.[124] The Rua Farme de Amoedo is located in Ipanema, a famous neighborhood in the South Zone of Rio de Janeiro. The street and the nearby beach, famous tourist spots, are remarkable for their popularity in the LGBT community. Rio de Janeiro is the most awarded destination by World Travel Awards in the South American category of "best destination".[125]
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The Portuguese language is the official and national language, and thus the primary language taught in schools. English and Spanish are also part of the official curriculum. There are also international schools, such as the American School of Rio de Janeiro, Our Lady of Mercy School, the Corcovado German School, the Lycée Français and the British School of Rio de Janeiro.
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The city has several universities and research institutes. The Ministry of Education has certified approximately 99 upper-learning institutions in Rio.[126]
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The most prestigious university is the Federal University of Rio de Janeiro. It is the fifth best in Latin America; the second best in Brazil, second only to the University of São Paulo; and the best in Latin America, according to the QS World University Rankings.[127][128]
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Some notable higher education institutions are Federal University of Rio de Janeiro (UFRJ); Federal University of the Rio de Janeiro state (UNIRIO); Rio de Janeiro State University (UERJ); Federal Rural University of Rio de Janeiro (UFRRJ, often nicknamed Rural); Fluminense Federal University (UFF); Pontifical Catholic University of Rio de Janeiro (PUC-Rio); Getúlio Vargas Foundation (FGV); Military Institute of Engineering (IME); Superior Institute of Technology in Computer Science of Rio de Janeiro (IST-Rio); College of Publicity and Marketing (ESPM); National Institute of Pure and Applied Mathematics (IMPA); Superior institute of Education of Rio de Janeiro (ISERJ) and Federal Center of Technological Education Celso Suckow da Fonseca (CEFET/RJ). There are more than 137 upper-learning institutions in whole Rio de Janeiro state.[129]
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Primary schools are largely under municipal administration, while the state plays a more significant role in the extensive network of secondary schools. There are also a small number of schools under federal administration, as is the case of Pedro II School, Colégio de Aplicação da UFRJ and the Centro Federal de Educação Tecnológica of Rio de Janeiro (CEFET-RJ). In addition, Rio has an ample offering of private schools that provide education at all levels. Rio is home to many colleges and universities. The literacy rate for cariocas aged 10 and older is nearly 95 percent, well above the national average.[130]
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The Rio de Janeiro State University (public), Federal University of Rio de Janeiro (public), Brazilian Institute of Capital Markets (private) and Pontifical Catholic University of Rio de Janeiro (private) are among the country's top institutions of higher education. Other institutes of higher learning include the Colégio Regina Coeli in Usina, notable for having its own 3 ft (914 mm) narrow gauge[131] funicular railway on its grounds.[132]
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In Rio, there were 1,033 primary schools with 25,594 teachers and 667,788 students in 1995. There are 370 secondary schools with 9,699 teachers and 227,892 students. There are 53 University-preparatory schools with 14,864 teachers and 154,447 students. The city has six major universities and 47 private schools of higher learning.[133]
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Rio de Janeiro is a main cultural hub in Brazil. Its architecture embraces churches and buildings dating from the 16th to the 19th centuries, blending with the world-renowned designs of the 20th century. Rio was home to the Portuguese Imperial family and capital of the country for many years, and was influenced by Portuguese, English, and French architecture.[134]
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Rio de Janeiro has inherited a strong cultural role from the past. In the late 19th century, there were sessions held of the first Brazilian film and since then, several production cycles have spread out, eventually placing Rio at the forefront of experimental and national cinema. The Rio de Janeiro International Film Festival[135] has been held annually since 1999.[136]
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Rio currently brings together the main production centers of Brazilian television.[137] Major international films set in Rio de Janeiro include Blame it on Rio; the James Bond film Moonraker; the Oscar award-winning, critically acclaimed Central Station by Walter Salles, who is also one of Brazil's best-known directors; and the Oscar award-winning historical drama, Black Orpheus, which depicted the early days of Carnaval in Rio de Janeiro. Internationally famous, Brazilian-made movies illustrating a darker side of Rio de Janeiro include Elite Squad and City of God.
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Rio has many important cultural landmarks, such as the Biblioteca Nacional (National Library), one of the largest libraries in the world with collections totalling more than 9 million items; the Theatro Municipal; the National Museum of Fine Arts; the Carmen Miranda Museum; the Rio de Janeiro Botanical Garden; the Parque Lage; the Quinta da Boa Vista; the Imperial Square; the Brazilian Academy of Letters; the Museu de Arte Moderna do Rio de Janeiro; and the Natural History Museum.
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After Brazilian independence from Portugal in 1822, Rio de Janeiro quickly developed a European-style bourgeois cultural life, including numerous newspapers, in which most 19th-century novels were initially published in serial. Joaquim Manuel de Macedo's A Moreninha (1844) was perhaps the first successful novel in Brazil and inaugurates a recurrent 19th-century theme: a romantic relationship between idealistic young people in spite of cruelties of social fortune.
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The first notable work of realism focusing on the urban lower-middle class is Manuel Antônio de Almeida's Memórias de um sargento de milícias (1854), which presents a series of picaresque but touching scenes, and evokes the transformation of a town into a city with suggestive nostalgia. Romantic and realist modes both flourished through the late 19th century and often overlapped within works.[138]
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The most famous author of Rio de Janeiro, however, was Machado de Assis, who is also widely regarded as the greatest writer of Brazilian literature[139] and considered the founder of Realism in Brazil, with the publication of The Posthumous Memoirs of Bras Cubas (1881).[140] He commented on and criticized the political and social events of the city and country such as the abolition of slavery in 1888 and the transition from Empire to Republic with his numerous chronicles published in newspapers of the time.[141] Many of his short stories and novels, like Quincas Borba (1891) and Dom Casmurro (1899), are placed in Rio.
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The headquarters of the Brazilian Academy of Letters is based in Rio de Janeiro. It was satirized by the novelist Jorge Amado in Pen, Sword, Camisole. Amado, himself, went on to be one of the 40 members of the Academy.
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The Biblioteca Nacional (National Library of Brazil) ranks as one of the largest libraries in the world. It is also the largest library in all of Latin America.[142] Located in Cinelândia, the National Library was originally created by the King of Portugal, in 1810. As with many of Rio de Janeiro's cultural monuments, the library was originally off-limits to the general public. The most valuable collections in the library include: 4,300 items donated by Barbosa Machado including a precious collection of rare brochures detailing the History of Portugal and Brazil; 2,365 items from the 17th and 18th centuries that were previously owned by Antônio de Araújo de Azevedo, the "Count of Barca", including the 125-volume set of prints "Le Grand Théâtre de l'Univers;" a collection of documents regarding the Jesuítica Province of Paraguay and the "Region of Prata;" and the Teresa Cristina Maria Collection, donated by Emperor Pedro II. The collection contains 48,236 items. Individual items of special interest include a rare first edition of Os Lusíadas by Luis de Camões, published in 1584; two copies of the Mogúncia Bible; and a first edition of Handel's Messiah.[143]
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The Real Gabinete Português de Leitura (Portuguese Royal Reading Library) is located at Rua Luís de Camões, in the Centro (Downtown). The institution was founded in 1837 by a group of forty-three Portuguese immigrants, political refugees, to promote culture among the Portuguese community in the then capital of the Empire. The history of the Brazilian Academy of Letters is linked to the Real Gabinete, since some of the early meetings of the Academy were held there.[144]
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The official song of Rio de Janeiro is "Cidade Maravilhosa", which means "marvelous city". The song is considered the civic anthem of Rio, and is always the favourite song during Rio's Carnival in February. Rio de Janeiro and São Paulo, are considered the centre of the urban music movement in Brazil.[145]
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"Rio was popularised by the hit song "The Girl from Ipanema", composed by Antônio Carlos Jobim and Vinicius de Moraes and recorded by Astrud Gilberto and João Gilberto, Frank Sinatra, and Ella Fitzgerald. It is also the main key song of the bossa nova, a music genre born in Rio. A genre unique to Rio and Brazil as a whole is Funk Carioca. While samba music continues to act as the national unifying agent in Rio, Funk Carioca found a strong community following in Brazil. With its genesis in the 1970s as the modern black pop music from the United States, it evolved in the 1990s to describe a variety of electronic music associated with the current US black music scene, including hip hop, modern soul, and house music."[146]
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Brazil's return to democracy in 1985 allowed for a new music expression which promoted creativity and experimentation in expressive culture, in a wave of Rock'n'roll that swept the 80s. Lobão emerged as the most legendary rocker in Brazil.[147] Commercial and cultural imports from Europe and North America have often influenced Brazil's own cultural output. For example, the hip hop that has stemmed from New York is localized into forms of musical production such as Funk Carioca and Brazilian hip hop. Bands from Rio de Janeiro also had influence in the mid-to-late development of the Punk in Brazil, and that of Brazilian thrash metal. Democratic renewal also allowed for the recognition and acceptance of this diversification of Brazilian culture.[148]
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Some of the best singers in the history of Rio de Janeiro are Lobão, Tim Maia, Agepê, Emílio Santiago, Evandro Mesquita, Byafra, Erasmo Carlos, Elymar Santos, Gretchen, Latino, Kátia Cega, Rafael Ilha, Sérgio Mallandro e Wilson Simonal.
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Rio de Janeiro's Theatro Municipal is one of the most attractive buildings in the central area of the city. Home of one of the largest stages in Latin America and one of Brazil's best known venues for opera, ballet, and classical music, the building was inspired by the Palais Garnier, home of the Paris Opera. Construction of the Theatro Municipal began in 1905 following designs of the architect Francisco Pereira Passos. The statues on the top, of two women representing Poetry and Music, are by Rodolfo Bernardelli, and the interior is rich with furnishings and fine paintings. Inaugurated in 1909, the Teatro Municipal has close to 1,700 seats. Its interior includes turn of the century stained glass from France, ceilings of rose-colored marble and a 1,000 pound crystal bead chandelier surrounded by a painting of the "Dance of the Hours". The exterior walls of the building are dotted with inscriptions bearing the names of famous Brazilians as well as many other international celebrities.[149]
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Cidade das Artes (City of Arts) is a cultural complex in Barra da Tijuca in the Southwest Zone of Rio de Janeiro, which was originally planned to open in 2004. Formally known as "Cidade da Música" (City of Music), it was finally inaugurated at the beginning of 2013.
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The project will host the Brazilian Symphony Orchestra becoming a main center for music as will be the largest modern concert hall in South America, with 1,780 seats. The complex spans approximately 90 thousand square metres (1 million square feet) and also features a chamber music hall, three theaters, and 12 rehearsal rooms. From the terrace there is a panoramic view of the zone. The building was designed by the French architect Christian de Portzamparc and construction was funded by the city of Rio de Janeiro.
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Every 31 December, 2.5 million people gather at Copacabana Beach to celebrate New Year's in Rio de Janeiro. The crowd, mostly dressed in white, celebrates all night at the hundreds of different shows and events along the beach. It is the second largest celebration only next to the Carnival. People celebrate the New Year by sharing chilled champagne. It is considered good luck to shake the champagne bottle and spray around at midnight. Chilled champagne adds to the spirit of the festivities.[150]
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"Rock in Rio" is a music festival conceived by entrepreneur Roberto Medina for the first time in 1985, and since its creation, recognized as the largest music festival in the Latin world and the largest in the world, with 1.5 million people attending the first event, 700,000 attending the second and fourth, about 1.2 million attending the third, and about 350,000 people attending each of the 3 Lisbon events. It was originally organized in Rio de Janeiro, from where the name comes from, has become a world level event and, in 2004, had its first edition abroad in Lisbon, Portugal, before Madrid, Spain and Las Vegas, United States. The festival is considered the eighth best in the world by the specialized site Fling Festival.[151]
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Carnaval, is an annual celebration in the Roman Catholic tradition that allows merry-making and red meat consumption before the more sober 40 days of Lent penance which culminates with Holy or Passion Week and Easter. The tradition of Carnaval parades was probably influenced by the French or German courts and the custom was brought by the Portuguese or Brazilian Imperial families who had Bourbon and Austrian ancestors. Up until the time of the marchinhas, the revelry was more of a high class and Caucasian-led event. The influence of the African-Brazilian drums and music became more noticeable from the first half of the 20th century. Rio de Janeiro has many Carnaval choices, including the famous samba school (Escolas de Samba)[152] parades in the sambadrome exhibition center and the popular blocos de carnaval, street revelry, which parade in almost every corner of the city. The most famous ones are:
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In 1840, the first Carnaval was celebrated with a masked ball. As years passed, adorned floats and costumed revelers became a tradition among the celebrants. Carnaval is known as a historic root of Brazilian music.[154]
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As in the rest of Brazil, association football is the most popular sport. The city's major teams are Flamengo, Vasco da Gama, Fluminense and Botafogo. Madureira, Bangu, Portuguesa, America and Bonsucesso are small clubs. Famous players born in the city include Ronaldo and Romário.[155]
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Rio de Janeiro was one of the host cities of the 1950 and 2014 FIFA World Cups, for which on both occasions Brazil was the host nation. In 1950, the Maracanã Stadium hosted 8 matches, including all but one of the host team's matches. The Maracanã was also the location of the infamous tournament-deciding match between Uruguay and Brazil, where Brazil only needed a draw to win the final group stage and the whole tournament. Brazil ended up losing 2–1 in front of a home crowd of more than 199,000. In 2014, the Maracanã hosted seven matches, including the final, where Germany beat Argentina 1–0.[156]
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78,838 (173,850 record)
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24,880 (40,209 record)
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78,838 (173,850 record)
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46,931 (43,810 record)
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5,400 (10,762 record)
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9,564 (17,000 record)
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15,000 (18,725 record)
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13,000 (13,571 record)
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13,544 (9,861 record)
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On 2 October 2009, the International Olympic Committee selected Rio de Janeiro to host the 2016 Summer Olympics.[157] Rio made their first bid for the 1936 Summer Olympics, but lost to Berlin. They later made bids for the 2004 and 2012 Games, but failed to become a candidate city both times. Those games were awarded to Athens and London respectively.[158]
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Rio is the first Brazilian and South American city to host the Summer Olympics. Rio de Janeiro also became the first city in the southern hemisphere outside of Australia to host the games – Melbourne in 1956 and Sydney in 2000. In July 2007, Rio successfully organized and hosted the XV Pan American Games.
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Rio de Janeiro also hosted the 2011 Military World Games from 15–24 July 2011. The 2011 Military World Games were the largest military sports event ever held in Brazil, with approximately 4,900 athletes from 108 countries competing in 20 sports.[159]
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Rio de Janeiro hosted the 2016 Olympics and Paralympics. The Olympic Games were held from 5 to 21 August 2016. The Paralympics were held from 7 to 18 September 2016.
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The city has a history as host of major international sports events. The Ginásio do Maracanãzinho was the host arena for the official FIBA Basketball World Championship for its 1954 and 1963 editions. Later, the Jacarepaguá circuit in Rio de Janeiro was the site for the Formula One Brazilian Grand Prix from 1978 to 1989. Rio de Janeiro also hosted the MotoGP Brazilian Grand Prix from 1995 to 2004 and the Champ Car event from 1996 to 1999. WCT/WQS surfing championships were contested on the beaches from 1985 to 2001. The Rio Champions Cup Tennis tournament is held in the spring. As part of its preparations to host the 2007 Pan American Games, Rio built a new stadium, Estádio Olímpico João Havelange, to hold 45,000 people. It was named after Brazilian ex-FIFA president João Havelange. The stadium is owned by the city of Rio de Janeiro, but it was rented to Botafogo de Futebol e Regatas for 20 years.[160] Rio de Janeiro has also a multi-purpose arena, the HSBC Arena.
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The Brazilian Dance/Sport/Martial art Capoeira is very popular. Other popular sports are basketball, beach football, beach volleyball, Beach American Football, footvolley, surfing, kite surfing, hang gliding, motor racing, Brazilian Jiu-Jitsu, sailing, and competitive rowing. Another sport that is highly popular in beaches of Rio is called "Frescobol" (pronounced [fɾe̞ɕko̞ˈbɔw]), a type of beach tennis. Rio de Janeiro is also paradise for rock climbers, with hundreds of routes all over the city, ranging from easy boulders to highly technical big wall climbs, all inside the city. The most famous, Rio's granite mountain, the Sugar Loaf (Pão de Açúcar), is an example, with routes from the easy third grade (American 5.4, French 3) to the extremely difficult ninth grade (5.13/8b), up to 280 metres (919 feet).
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Horse racing events are held Thursday nights and weekend afternoons at Hipódromo da Gávea. An impressive place with excellent grass and dirt tracks, it runs the best horses in the nation. Hang gliding in Rio de Janeiro started in the mid-1970s and quickly proved to be well-suited for this town, because of its geography: steep mountains encounter the Atlantic Ocean, which provide excellent take-off locations and great landing zones on the beach.
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One of the most popular sea sports in the city is yachting. The main yacht clubs are in Botafogo area that extends halfway between Copacabana and the center of town. Though the most exclusive and interesting is probably the Rio Yacht club, where high society makes it a point to congregate. Most yacht clubs are open to members only and gate crashing is not easy. Copacabana is also a great place to surf, as well as "Arpoador of Ipanema" beach and "Praia dos Bandeirantes". The sea at these beaches is rough and dangerous, and the best surfers from Brazil and other sites of the world come to these beaches to prove themselves.[161]
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The city of Rio de Janeiro is served by the following airports for use:
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Military airports include:
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The Port of Rio de Janeiro is Brazil's third busiest port in terms of cargo volume, and it is the center for cruise vessels. Located on the west coast of the Guanabara Bay, it serves the States of Rio de Janeiro, São Paulo, Minas Gerais, and Espírito Santo. The port is managed by Companhia Docas de Rio de Janeiro. The Port of Rio de Janeiro covers territory from the Mauá Pier in the east to the Wharf of the Cashew in the north. The Port of Rio de Janeiro contains almost seven thousand metres (23 thousand feet) of continuous wharf and an 883-metre (2,897-foot) pier. The Companhia Docas de Rio de Janeiro administers directly the Wharf of the Gamboa general cargo terminal; the wheat terminal with two warehouses capable of moving 300 tons of grains; General Load Terminal 2 with warehouses covering over 20 thousand square metres (215 thousand square feet); and the Wharves of Are Cristovao with terminals for wheat and liquid bulk.[167]
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At the Wharf of Gamboa, leaseholders operate terminals for sugar, paper, iron and steel products. Leaseholders at the Wharf of the Cashew operate terminals for roll-on/roll-off cargoes, containers, and liquid bulk. In 2004, the Port of Rio de Janeiro handled over seven million tons of cargo on almost 1700 vessels. In 2004, the Port of Rio de Janeiro handled over two million tons of containerized cargo in almost 171 thousand TEUs. The port handled 852 thousand tons of wheat, more than 1.8 million tons of iron and steel, over a million tons of liquid bulk cargo, almost 830 thousand tons of dry bulk, over five thousand tons of paper goods, and over 78 thousand vehicles. In 2003, over 91 thousand passengers moved through the Port of Rio Janeiro on 83 cruise vessels.[168]
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In Rio de Janeiro, buses are the main form of public transportation. There are nearly 440 municipal bus lines serving over four million passengers every day, in addition to intercity lines. Although cheap and frequent, Rio's transportation policy has been moving towards trains and subway in order to reduce surface congestion and increase carrier capacity. Rio's public transportation service has been a target of many critics and the motive of the 2013's protests and manifestations that started in São Paulo and spread through the entire country. According to the people, the raise in the bus and subway fares are invalid, seeing that the amount charged is too high for the low quality of the services.
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The average amount of time people spend commuting with public transit in Rio de Janeiro, for example to and from work, on a weekday is 95 min. 32% of public transit riders, ride for more than two hours every day. The average amount of time people wait at a stop or station for public transit is 19 min, while 35% of riders wait for over 20 minutes on average every day. The average distance people usually ride in a single trip with public transit is 12.3 km, while 37% travel for over 12 km in a single direction.[169]
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Rio de Janeiro has three subway lines (Metrô Rio) with 58 kilometres (36 mi) and 41 stations plus several commuter rail lines. Future plans include building a fourth subway line to Niterói and São Gonçalo, including an underwater tunnel beneath Guanabara Bay to supplement the ferry service currently there.[170] The Metro is Rio's safest and cleanest form of public transport.[171]
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The three lines serve the city seven days a week. The first line runs from General Osório in Ipanema to Uruguai Station in Tijuca. The second line runs from Botafogo, sharing ten stations with the first line, terminating at Pavuna in northern Rio. The third connects General Osório to Jardim Oceânico Station, in the Barra da Tijuca neighborhood, where the 2016 Olympic Games were held. The Metro runs services from 05:00 am to 12:00 midnight, Monday to Saturday, and from 07:00 am to 11:00 pm Sundays and public holidays. People can buy tickets for the Metro at train stations and can either buy single tickets or rechargeable cards. People can also buy tickets for the Metro at buses that make connect places far from the Metro. Integration with buses are possible in several forms, an integrated Metro and bus ticket for a single journey is available for some lines paying an additional fee and is known as an Integração Expressa (Express Integration) and Expresso Barra, the other possibility is taking the Metro na Superfície (Surface Metro) with no additional fee.[172][173]
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SuperVia connects the city of Rio with other locations in Greater Rio de Janeiro with surface trains. It has 8 lines and 270 kilometres (168 mi), with 102 stations.[174]
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In order to improve traffic in the central zone, the prefecture started the project "Porto Maravilha" (Marvelous Port), which foresees a modern tramway system. Its lines will connect the central business district to Santos Dumont Airport, the ferry station at XV Square, the Novo Rio terminal bus station at Santo Cristo, and the future high-speed rail Leopoldina station between Rio de Janeiro and São Paulo.[175]
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In 2016, for the Olympic Games, the light rail system was inaugurated, with 28 km, 42 stations, distributed in 3 lines. The trams are the first in the world to use a combination of ground-level power supply (APS) and on-board supercapacitor energy storage (SRS), in order to eliminate overhead lines along the entire route.
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City buses cost about R$3.80 to ride. They come in both non-air conditioned (R$3.80)[176] and air conditioned versions (R$3–R$5.40).[177] The system may be relatively safe by day but less so at night.[178] Integration of bus lines has been recently implemented, allowing users to take two non-air conditioned bus rides in two hours paying just one ticket. It is necessary to have a registered electronic card (the "Bilhete Único Carioca (BUC)") in order to benefit of this system.
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Another type of local bus is called the "Frescão" (air-conditioned). These buses run several routes, the main being from Centro through Botafogo, Copacabana and Ipanema to Leblon (and vice versa), and from the International Airport to Barra, through the beach road. They are air conditioned – about 22 °C (72 °F) – more upscale/comfortable and cost between R$6.00–R$12.00.[179] However, it is only available during weekdays. The buses also run more frequently during the rush hours in the morning and evening. Going in the direction of Centro (city center), the bus can be flagged down on the beach road (buses with plaques showing "Castelo").
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The most geographically close sister city to Rio that is on the other side of Guanabara Bay is Niterói. Many people who live in Niterói, as well its neighbouring municipalities São Gonçalo and Maricá, commute to Rio de Janeiro to study and work. There are several ferry services that operate between the Rio Centro (Praça XV) and Niterói (Centro and Charitas). There is a traditional boat as well as several "fast cat" hydrofoil boats.
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One of the city neighborhoods is Paquetá Island, which can only be accessed by ferryboats or hydrofoil boats. The ferryboat to Paquetá leaves every hour, from early in the morning until around midnight. There is also a ferry to Cocotá.
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Rio de Janeiro has the oldest operating electric tramway in Latin America,[180] now mainly used by tourists and less by daily commuters. The Santa Teresa Tram, bonde (tram), or bondinho (little tram), has been preserved both as a piece of history and as a quick, fun, and inexpensive way of getting to one of the most quirky parts of the city.[181] It was designated a national historic monument in 1985.[182]:111
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The tram station, known as Largo da Carioca terminal, is near Cinelândia and the Municipal Theatre. Trams leave every 20–25 minutes between 8:00 am and 5:40 pm.[183] A ticket is R$20.00 (about US $3.75),[183] one way or return, and people pay as they pass through the barrier to the right of the entrance. The Santa Teresa Tram (known locally as the "bonde", the Brazilian Portuguese word for tram) commenced electric operation in 1896, replacing horse-drawn trams and extending the route.[182] At this time the gauge was altered to 1,100 mm (3 ft 7 5⁄16 in), which remains the case today.[182] The tramcars currently in operation are Brazilian-built, are of the cross-bench open-sided design, and are fitted with trolley poles.
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After a derailment occurred on 27 August 2011,[184] which left six dead, tram service was suspended to improve the system. The elderly tramcars, which dated from the 1950s,[185] were retired and replaced with newly built replicas that have the appearance of the old fleet but with new mechanical equipment and additional safety features;[186] delivery began in 2014.[187] The line's track was also rebuilt, and after some delays, about one-third of the line reopened in July 2015. More sections reopened later in stages, following repair of additional sections of track. The line was restored to its full pre-2011 length of 6 km (4 mi) in January 2019.[188]
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Driving in Rio de Janeiro, as in most large cities of Brazil, might not be the best choice because of the large car fleet. The city is served by a number of expressways, like Linha Vermelha, Linha Amarela, Avenida Brasil, Avenida das Américas and Avenida Infante Dom Henrique (Aterro do Flamengo); in spite of this, traffic jams are very common.[189] Because of the organization of the 2016 Olympics the city is installing four BRT systems to link Barra da Tijuca with other major neighbourhoods: TransOlimpica (between Barra and Deodoro); TransBrasil (over the Avenida Brasil expressway); TransCarioca (between Barra and the Galeão International Airport); and TransOeste (between Barra and Santa Cruz, over Avenida das Américas).
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In Brazil, most interstate transportation is done by road. A large terminal for long-distance buses is in the Santo Cristo neighborhood of Rio de Janeiro. There are also two port facilities for cargo and passenger ships (Rio de Janeiro and Sepetiba port). Rio has roads to all neighbour States. Some roads (like Via Dutra, to São Paulo, and a stretch of the BR-101 which covers the Rio-Niterói bridge) were chartered to private enterprises. The quality of the highways improved much, but was accompanied by a significant increase of the toll fees. From São Paulo: take the BR-116 (Presidente Dutra Federal Highway) or the BR-101 (Rio-Santos Federal Highway). From Belo Horizonte: BR-040. From Salvador: BR-101 or BR-324/BR-116/BR-393/BR-040.
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The city has 160 km (99 mi) of cycle paths that, wherever they exist, are very much preferable to riding in the city's traffic. Most paths run alongside beaches and extend intermittently from the Marina da Glória, Centro, through Flamengo, Copacabana and Ipanema, to Barra da Tijuca and Recreio dos Bandeirantes. six kilometres (3.7 miles) of cycle paths traverse the Tijuca National Park.[190]
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The Bike Rio began operations in October 2011. This bicycle sharing system is sponsored by the municipal government of Rio de Janeiro in partnership with Banco Itaú. The bike sharing system has 600 bicycles available at 60 rental stations in 14 neighborhoods throughout the city.[191][192]
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The dialing code for the city of Rio de Janeiro (RJ) is 21.[193]
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Rio de Janeiro is twinned with:
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Rio de Janeiro has the following partner/friendship cities:
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Rio de Janeiro is a part of the Union of Ibero-American Capital Cities.[231]
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Bashar Hafez al-Assad (Arabic: بشار حافظ الأسد Baššār Ḥāfiẓ al-ʾAsad, Levantine pronunciation: [baʃˈʃaːr ˈħaːfezˤ elˈʔasad]; English pronunciation (help·info); born 11 September 1965) is a Syrian politician who has been the President of Syria since 17 July 2000. In addition, he is commander-in-chief of the Syrian Armed Forces and Regional Secretary of the Arab Socialist Ba'ath Party's branch in Syria. His father, Hafez al-Assad, was President of Syria from 1971 to 2000.
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Born and raised in Damascus, Assad graduated from the medical school of Damascus University in 1988 and began to work as a doctor in the Syrian Army. Four years later, he attended postgraduate studies at the Western Eye Hospital in London, specialising in ophthalmology. In 1994, after his elder brother Bassel died in a car crash, Bashar was recalled to Syria to take over Bassel's role as heir apparent. He entered the military academy, taking charge of the Syrian military presence in Lebanon in 1998.
|
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Political scientists have characterized the Assad family's rule of Syria as a personalist dictatorship.[2][3][4][5][6][7] On 17 July 2000, Assad became President, succeeding his father, who died in office a month prior. In the uncontested and non-democratic 2000 and 2007 elections he received 97.29% and 97.6% support, respectively.[8][9][10][11][12][13] On 16 July 2014, Assad was sworn in for another seven-year term after another non-democratic election gave Assad 88.7% of the vote.[14][15][16][17][18][19] The election was held only in areas controlled by the Syrian government during the country's ongoing civil war and was criticized by the UN, the Syrian opposition and Western countries,[20][21] while Syria's allies, including Iran, Russia and Venezuela, stated that the election was "free and fair".[22][23][24] The Assad government describes itself as secular,[25] while some political scientists have claimed that the government exploits sectarian tensions in the country and relies upon the Alawite minority to remain in power.[26][27]
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Once seen by many states as a potential reformer, the United States, the European Union and the majority of the Arab League called for Assad's resignation from the presidency in 2011 after he ordered crackdowns and military sieges on Arab Spring protesters, which led to the Syrian Civil War.[28][29] In December 2013, the UN High Commissioner for Human Rights Navi Pillay stated that findings from an inquiry by the United Nations implicated Assad in war crimes.[30] The OPCW-UN Joint Investigative Mechanism concluded in October 2017 that Assad's government was responsible for the Khan Shaykhun chemical attack.[31] In June 2014, the American Syrian Accountability Project included Assad on a list of war crimes indictments of government officials and rebels it sent to the International Criminal Court.[32] Assad has rejected allegations of war crimes and criticised the American-led intervention in Syria for attempting regime change.[33][34]
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Bashar Hafez al-Assad was born in Damascus on 11 September 1965, the second oldest son of Anisa Makhlouf and Hafez al-Assad.[35] Al-Assad in Arabic means "the Lion". Assad's paternal grandfather, Ali Sulayman al-Assad, had managed to change his status from peasant to minor notable and, to reflect this, in 1927 he had changed the family name from Wahsh (meaning "Savage") to Al-Assad.[36]
|
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Assad's father, Hafez, was born to an impoverished rural family of Alawite background and rose through the Ba'ath Party ranks to take control of the Syrian branch of the Party in the 1970 Corrective Revolution, culminating in his rise to the Syrian presidency.[37] Hafez promoted his supporters within the Ba'ath Party, many of whom were also of Alawite background.[35][38] After the revolution, Alawite strongmen were installed while Sunnis, Druzes, and Ismailis were removed from the army and Ba'ath party.[39]
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The younger Assad had five siblings, three of whom are deceased. A sister named Bushra died in infancy.[40] Assad's youngest brother, Majd, was not a public figure and little is known about him other than he was intellectually disabled,[41] and died in 2009 after a "long illness".[42]
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Unlike his brothers Bassel and Maher, and second sister, also named Bushra, Bashar was quiet, reserved and lacked interest in politics or the military.[43][41][44] The Assad children reportedly rarely saw their father,[45] and Bashar later stated that he only entered his father's office once while he was president.[46] He was described as "soft-spoken",[47] and according to a university friend, he was timid, avoided eye contact and speaking in a low voice.[48]
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Assad received his primary and secondary education in the Arab-French al-Hurriya School in Damascus.[43] In 1982, he graduated from high school and then studied medicine at Damascus University.[49]
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In 1988, Assad graduated from medical school and began working as an army doctor at the Tishrin Military Hospital on the outskirts of Damascus.[50][51] Four years later, he settled in London to start postgraduate training in ophthalmology at the Western Eye Hospital.[52] He was described as a "geeky I.T. guy" during his time in London.[53] Bashar had few political aspirations,[54] and his father had been grooming Bashar's older brother Bassel as the future president.[55] However, Bassel died in a car accident in 1994 and Bashar was recalled to the Syrian Army shortly thereafter.
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Soon after the death of Bassel, Hafez al-Assad decided to make Bashar the new heir apparent.[56] Over the next six and a half years, until his death in 2000, Hafez prepared Bashar for taking overpower. Preparations for a smooth transition were made on three levels. First, support was built up for Bashar in the military and security apparatus. Second, Bashar's image was established with the public. And lastly, Bashar was familiarised with the mechanisms of running the country.[57]
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To establish his credentials in the military, Bashar entered the military academy at Homs in 1994 and was propelled through the ranks to become a colonel of the elite Syrian Republican Guard in January 1999.[50][58][59] To establish a power base for Bashar in the military, old divisional commanders were pushed into retirement, and new, young, Alawite officers with loyalties to him took their place.[60]
|
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In 1998, Bashar took charge of Syria's Lebanon file, which had since the 1970s been handled by Vice President Abdul Halim Khaddam, who had until then been a potential contender for president.[60] By taking charge of Syrian affairs in Lebanon, Bashar was able to push Khaddam aside and establish his own power base in Lebanon.[61] In the same year, after minor consultation with Lebanese politicians, Bashar installed Emile Lahoud, a loyal ally of his, as the President of Lebanon and pushed former Lebanese Prime Minister Rafic Hariri aside, by not placing his political weight behind his nomination as prime minister.[62] To further weaken the old Syrian order in Lebanon, Bashar replaced the long-serving de facto Syrian High Commissioner of Lebanon, Ghazi Kanaan, with Rustum Ghazaleh.[63]
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Parallel to his military career, Bashar was engaged in public affairs. He was granted wide powers and became head of the bureau to receive complaints and appeals of citizens, and led a campaign against corruption. As a result of this campaign, many of Bashar's potential rivals for president were put on trial for corruption.[50] Bashar also became the President of the Syrian Computer Society and helped to introduce the internet in Syria, which aided his image as a moderniser and reformer.[64]
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Member State of the Arab League (Suspended)
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Asia portal
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History portal
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After the death of Hafez al-Assad on 10 June 2000, the Constitution of Syria was amended; the minimum age requirement for the presidency was lowered from 40 to 34, which was Bashar's age at the time.[65] Assad was then confirmed president on 10 July 2000, with 97.29% support for his leadership.[8][9][10] In line with his role as President of Syria, he was also appointed the commander-in-chief of the Syrian Armed Forces and Regional Secretary of the Ba'ath Party.[64]
|
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Immediately after he took office, a reform movement made cautious advances during the Damascus Spring, which led to the shut down of Mezzeh prison and the declaration of a wide-ranging amnesty releasing hundreds of Muslim Brotherhood affiliated political prisoners.[66] However, security crackdowns commenced again within the year.[67][68] Many analysts stated that reform under Assad had been inhibited by the "old guard", members of the government loyal to his late father.[64]
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During the War on terror, Assad allied his country with the West. Syria was a major site of extraordinary rendition by the CIA of al-Qaeda suspects, who were interrogated in Syrian prisons.[69][70][71]
|
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Soon after Assad assumed power, he "made Syria's link with Hezbollah – and its patrons in Tehran – the central component of his security doctrine",[72] and in his foreign policy, Assad is an outspoken critic of the United States, Israel, Saudi Arabia, and Turkey.[73]
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In 2005 Rafic Hariri, the former prime minister of Lebanon was assassinated. The Christian Science Monitor reported that "Syria was widely blamed for Hariri's murder. In the months leading to the assassination, relations between Hariri and Syrian President Bashar al-Assad plummeted amid an atmosphere of threats and intimidation."[74] The BBC reported in December 2005 that an interim United Nations report "implicated Syrian officials", while "Damascus has strongly denied involvement in the car bomb which killed Hariri in February".[75]
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On 27 May 2007, Assad was approved for another seven-year term in a referendum on his presidency, with 97.6% of the votes supporting his continued leadership.[76] Opposition parties were not allowed in the country and Assad was the only candidate in the referendum.[10]
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Mass protests in Syria began on 26 January 2011. Protesters called for political reforms and the reinstatement of civil rights, as well as an end to the state of emergency which had been in place since 1963.[77] One attempt at a "day of rage" was set for 4–5 February, though it ended uneventfully.[78] Protests on 18–19 March were the largest to take place in Syria for decades, and the Syrian authority responded with violence against its protesting citizens.[79]
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The U.S. imposed limited sanctions against the Assad government in April 2011, followed by Barack Obama's executive order as of 18 May 2011 targeting Bashar Assad specifically and six other senior officials.[80][81][82] On 23 May 2011, the EU foreign ministers agreed at a meeting in Brussels to add Assad and nine other officials to a list affected by travel bans and asset freezes.[83] On 24 May 2011, Canada imposed sanctions on Syrian leaders, including Assad.[84]
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On 20 June, in response to the demands of protesters and foreign pressure, Assad promised a national dialogue involving movement toward reform, new parliamentary elections, and greater freedoms. He also urged refugees to return home from Turkey, while assuring them amnesty and blaming all unrest on a small number of saboteurs.[85] Assad blamed the unrest on "conspiracies" and accused the Syrian opposition and protestors of "fitna", breaking with the Syrian Ba'ath Party's strict tradition of secularism.[86]
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In July 2011, U.S. Secretary of State Hillary Clinton said Assad had "lost legitimacy" as President.[81] On 18 August 2011, Barack Obama issued a written statement that urged Assad to "step aside".[87][88]
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In August, the cartoonist Ali Farzat, a critic of Assad's government, was attacked. Relatives of the humourist told media outlets that the attackers threatened to break Farzat's bones as a warning for him to stop drawing cartoons of government officials, particularly Assad. Farzat was hospitalised with fractures in both hands and blunt force trauma to the head.[89][90]
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Since October 2011, Russia, as a permanent member of the UN Security Council, repeatedly vetoed Western-sponsored draft resolutions in the UN Security Council that would have left open the possibility of UN sanctions, or even military intervention, against the Assad government.[91][92][93]
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By the end of January 2012, it was reported by Reuters that over 5,000 civilians and protesters (including armed militants) had been killed by the Syrian army, security agents and militia (Shabiha), while 1,100 people had been killed by "terrorist armed forces".[94]
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On 10 January 2012, Assad gave a speech in which he maintained the uprising was engineered by foreign countries and proclaimed that "victory [was] near". He also said that the Arab League, by suspending Syria, revealed that it was no longer Arab. However, Assad also said the country would not "close doors" to an Arab-brokered solution if "national sovereignty" was respected. He also said a referendum on a new constitution could be held in March.[95]
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On 27 February 2012, Syria claimed that a proposal that a new constitution be drafted received 90% support during the relevant referendum. The referendum introduced a fourteen-year cumulative term limit for the president of Syria. The referendum was pronounced meaningless by foreign nations including the U.S. and Turkey; the European Union announced fresh sanctions against key regime figures.[96] In July 2012, Russian Foreign Minister Sergey Lavrov denounced Western powers for what he said amounted to blackmail thus provoking a civil war in Syria.[97]
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On 15 July 2012, the International Committee of the Red Cross declared Syria to be in a state of civil war,[98] as the nationwide death toll for all sides was reported to have neared 20,000.[99]
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On 6 January 2013, Assad, in his first major speech since June, said that the conflict in his country was due to "enemies" outside of Syria who would "go to Hell" and that they would "be taught a lesson". However, he said that he was still open to a political solution saying that failed attempts at a solution "does not mean we are not interested in a political solution."[100][101]
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After the fall of four military bases in September 2014,[102] which were the last government footholds in the Raqqa Governorate, Assad received significant criticism from his Alawite base of support.[103] This included remarks made by Douraid al-Assad, cousin of Bashar al-Assad, demanding the resignation of the Syrian Defence Minister, Fahd Jassem al-Freij, following the massacre by the Islamic State of Iraq and the Levant of hundreds of government troops captured after the ISIL victory at Tabqa Airbase.[104] This was shortly followed by Alawite protests in Homs demanding the resignation of the governor,[105] and the dismissal of Assad's cousin Hafez Makhlouf from his security position leading to his subsequent exile to Belarus.[106] Growing resentment towards Assad among Alawites was fuelled by the disproportionate number of soldiers killed in fighting hailing from Alawite areas,[107] a sense that the Assad regime has abandoned them,[108] as well as the failing economic situation.[109] Figures close to Assad began voicing concerns regarding the likelihood of its survival, with one saying in late 2014; "I don't see the current situation as sustainable ... I think Damascus will collapse at some point."[102]
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In 2015, several members of the Assad family died in Latakia under unclear circumstances.[110] On 14 March, an influential cousin of Assad and founder of the shabiha, Mohammed Toufic al-Assad, was assassinated with five bullets to the head in a dispute over influence in Qardaha—the ancestral home of the Assad family.[111] In April 2015, Assad ordered the arrest of his cousin Munther al-Assad in Alzirah, Latakia.[112] It remains unclear whether the arrest was due to actual crimes.[113]
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After a string of government defeats in northern and southern Syria, analysts noted growing government instability coupled with continued waning support for the Assad government among its core Alawite base of support,[114] and that there were increasing reports of Assad relatives, Alawites, and businessmen fleeing Damascus for Latakia and foreign countries.[115][116] Intelligence chief Ali Mamlouk was placed under house arrest sometime in April and stood accused of plotting with Assad's exiled uncle Rifaat al-Assad to replace Bashar as president.[117] Further high-profile deaths included the commanders of the Fourth Armoured Division, the Belli military airbase, the army's special forces and of the First Armoured Division, with an errant air strike during the Palmyra offensive killing two officers who were reportedly related to Assad.[118]
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In early September 2015, against the backdrop of reports that Russia was deploying troops in Syria ready for combat, Russian President Vladimir Putin said that while such talk was "premature", Russia was "already providing Syria with sufficiently serious help: with both equipment and training soldiers, with our weapons".[119][120] Shortly after the start of direct military intervention by Russia on 30 September 2015 at the formal request of the Syrian government, Putin stated the military operation had been thoroughly prepared in advance and defined Russia's goal in Syria as "stabilising the legitimate power in Syria and creating the conditions for political compromise".[121]
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In November 2015, Assad reiterated that a diplomatic process to bring the country's civil war to an end could not begin while it was occupied by "terrorists", although it was considered by BBC News to be unclear whether he meant only ISIL or Western-supported rebels as well.[122] On 22 November, Assad said that within two months of its air campaign Russia had achieved more in its fight against ISIL than the U.S.-led coalition had achieved in a year.[123] In an interview with Česká televize on 1 December, he said that the leaders who demanded his resignation were of no interest to him, as nobody takes them seriously because they are "shallow" and controlled by the U.S.[124][125] At the end of December 2015, senior U.S. officials privately admitted that Russia had achieved its central goal of stabilising Syria and, with the expenses relatively low, could sustain the operation at this level for years to come.[126]
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In January 2016, Putin stated that Russia was supporting Assad's forces and was ready to back anti-Assad rebels as long as they were fighting ISIL.[127] On 11 January 2016, the senior Russian defense ministry official said that the "Russian air force was striking in support of eleven groups of democratic opposition that number over seven thousand people."[128]
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On 22 January 2016, the Financial Times, citing anonymous "senior western intelligence officials", claimed that Russian general Igor Sergun, the director of GRU, the Main Intelligence Directorate of the General Staff of the Armed Forces of the Russian Federation, had shortly before his sudden death on 3 January 2016 been sent to Damascus with a message from Vladimir Putin asking that President Assad step aside.[129] The Financial Times' report was promptly denied by Putin's spokesman.[130]
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It was reported in December 2016 that Assad's forces had retaken half of rebel-held Aleppo, ending a 6-year stalemate in the city.[131][132] On 15 December, as it was reported government forces were on the brink of retaking all of Aleppo—a "turning point" in the Civil War, Assad celebrated the "liberation" of the city, and stated, "History is being written by every Syrian citizen."[133]
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After the election of Donald Trump, the priority of the United States concerning Assad was unlike the priority of the Obama administration, and in March 2017 United States Ambassador to the United Nations Nikki Haley stated the U.S. was no longer focused on "getting Assad out",[134] but this position changed in the wake of the 2017 Khan Shaykhun chemical attack.[135] Following the missile strikes on a Syrian airbase on the orders of President Trump, Assad's spokesperson described the United States' behaviour as "unjust and arrogant aggression" and stated that the missile strikes "do not change the deep policies" of the Syrian government.[136] President Assad also told the Agence France-Presse that Syria's military had given up all its chemical weapons in 2013, and would not have used them if they still retained any, and stated that the chemical attack was a "100 percent fabrication" used to justify a U.S. airstrike.[137] In June 2017, Russian President Putin said "Assad didn't use the [chemical weapons]" and that the chemical attack was "done by people who wanted to blame him for that."[138] United Nations and international chemical weapons inspectors found the attack was the work of the Assad regime.[31]
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On 7 November 2017, the Syrian government announced that it had signed the Paris Climate Agreement.[139]
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According to ABC News, as a result of the Syrian Civil War, "government-controlled Syria is truncated in size, battered and impoverished".[140] Economic sanctions (the Syria Accountability Act) were applied long before the Syrian Civil War by the United States and were joined by the European Union at the outbreak of the civil war, causing disintegration of the Syrian economy.[141] These sanctions were reinforced in October 2014 by the EU and U.S.[142][143] Industry in parts of the country that are still held by the government is heavily state-controlled, with economic liberalisation being reversed during the current conflict.[144] The London School of Economics has stated that as a result of the Syrian Civil War, a war economy has developed in Syria.[145] A 2014 European Council on Foreign Relations report also stated that a war economy has formed:
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Three years into a conflict that is estimated to have killed at least 140,000 people from both sides, much of the Syrian economy lies in ruins. As the violence has expanded and sanctions have been imposed, assets and infrastructure have been destroyed, economic output has fallen, and investors have fled the country. Unemployment now exceeds 50 percent and half of the population lives below the poverty line ... against this backdrop, a war economy is emerging that is creating significant new economic networks and business activities that feed off the violence, chaos, and lawlessness gripping the country. This war economy – to which Western sanctions have inadvertently contributed – is creating incentives for some Syrians to prolong the conflict and making it harder to end it.[146]
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A United Nations commissioned report by the Syrian Centre for Policy Research states that two-thirds of the Syrian population now lives in "extreme poverty".[147] Unemployment stands at 50 percent.[148] In October 2014, a $50 million mall opened in Tartus which provoked criticism from government supporters and was seen as part of an Assad government policy of attempting to project a sense of normalcy throughout the civil war.[149] A government policy to give preference to families of slain soldiers for government jobs was cancelled after it caused an uproar[107] while rising accusations of corruption caused protests.[109] In December 2014, the EU banned sales of jet fuel to the Assad government, forcing the government to buy more expensive uninsured jet fuel shipments in the future.[150]
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A 2007 law required internet cafés to record all the comments users post on chat forums.[151] Websites such as Arabic Wikipedia, YouTube, and Facebook were blocked intermittently between 2008 and February 2011.[152][153][154]
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Human Rights groups, such as Human Rights Watch and Amnesty International, have detailed how the Assad government's secret police allegedly tortured, imprisoned, and killed political opponents, and those who speak out against the government.[155][156] In addition, some 600 Lebanese political prisoners are thought to be held in government prisons since the Syrian occupation of Lebanon, with some held for as long as over 30 years.[157] Since 2006, the Assad government has expanded the use of travel bans against political dissidents.[158] In an interview with ABC News in 2007, Assad stated: "We don't have such [things as] political prisoners," though The New York Times reported the arrest of 30 Syrian political dissidents who were organising a joint opposition front in December 2007, with 3 members of this group considered to be opposition leaders being remanded in custody.[159]
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In 2010, Syria banned face veils at universities.[160][161] Following the Syrian uprising in 2011, Assad partially relaxed the veil ban.[162]
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Foreign Policy magazine released an editorial on Assad's position in the wake of the 2011 protests:[163]
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During its decades of rule... the Assad family developed a strong political safety net by firmly integrating the military into the government. In 1970, Hafez al-Assad, Bashar's father, seized power after rising through the ranks of the Syrian armed forces, during which time he established a network of loyal Alawites by installing them in key posts. In fact, the military, ruling elite, and ruthless secret police are so intertwined that it is now impossible to separate the Assad government from the security establishment.... So... the government and its loyal forces have been able to deter all but the most resolute and fearless oppositional activists. In this respect, the situation in Syria is to a certain degree comparable to Saddam Hussein's strong Sunni minority rule in Iraq.
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The Federal Bureau of Investigation has stated that at least 10 European citizens were tortured by the Assad government while detained during the Syrian Civil War, potentially leaving Assad open to prosecution by individual European countries for war crimes.[164] Stephen Rapp, the United States Ambassador-at-Large for War Crimes Issues, has argued that the crimes allegedly committed by Assad are the worst seen since those of Nazi Germany.[165] In March 2015, Rapp further stated that the case against Assad is "much better" than those against Slobodan Milošević of Serbia or Charles Taylor of Liberia, both of whom were indicted by international tribunals.[166]
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In a February 2015 interview with the BBC, Assad described accusations that the Syrian Arab Air Force used barrel bombs as "childish", stating that his forces have never used these types of "barrel" bombs and responded with a joke about not using "cooking pots" either.[167] The BBC Middle East editor conducting the interview, Jeremy Bowen, later described Assad's statement regarding barrel bombs as "patently not true".[168][169]
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Nadim Shehadi, the director of The Fares Center for Eastern Mediterranean Studies, stated that "In the early 1990s, Saddam Hussein was massacring his people and we were worried about the weapons inspectors," and claimed that "Assad did that too. He kept us busy with chemical weapons when he massacred his people."[170][171]
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In September 2015, France began an inquiry into Assad for crimes against humanity, with French Foreign Minister Laurent Fabius stating "Faced with these crimes that offend the human conscience, this bureaucracy of horror, faced with this denial of the values of humanity, it is our responsibility to act against the impunity of the killers".[172]
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In February 2016, head of the UN Commission of Inquiry on Syria, Paulo Pinheiro, told reporters: "The mass scale of deaths of detainees suggests that the government of Syria is responsible for acts that amount to extermination as a crime against humanity." The UN Commission reported finding "unimaginable abuses", including women and children as young as seven perishing while being held by Syrian authorities. The report also stated: "There are reasonable grounds to believe that high-ranking officers—including the heads of branches and directorates—commanding these detention facilities, those in charge of the military police, as well as their civilian superiors, knew of the vast number of deaths occurring in detention facilities ... yet did not take action to prevent abuse, investigate allegations or prosecute those responsible".[173]
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In March 2016, the United States House Committee on Foreign Affairs led by New Jersey Rep. Chris Smith called on the Obama administration to create a war crimes tribunal to investigate and prosecute violations "whether committed by the officials of the Government of Syria or other parties to the civil war".[174]
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In April 2017, there was a sarin chemical attack on Khan Sheikhoun that killed more than 80 people. The attack prompted US President Donald Trump to order the US military to launch 59 missiles at a Syrian airbase.[175] Several months later, a joint report from the United Nations and international chemical weapons inspectors found the attack was the work of the Assad regime.[31]
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In April 2018, an alleged chemical attack occurred in Douma, prompting the U.S. and its and allies to accuse Assad of violating international laws and initiating the 2018 bombing of Damascus and Homs. Both Syria and Russia denied the involvement of the Syrian government at this time.[176][177]
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In June 2018, Germany's chief prosecutor issued an international arrest warrant for one of Assad's most senior military officials, Jamil Hassan.[178] Hassan is the head of Syria's powerful Air Force Intelligence Directorate. Detention centers run by Air Force Intelligence are among the most notorious in Syria, and thousands are believed to have died because of torture or neglect. Charges filed against Hassan claim he had command responsibility over the facilities and therefore knew of the abuse. The move against Hassan marked an important milestone of prosecutors trying to bring senior members of Assad's inner circle to trial for war crimes.
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In June 2019, United States Deputy Assistant Secretary of Defense Michael Mulroy stated that the United States “will respond quickly and appropriately,” if the regime uses chemical weapons again. He added that Bashar al-Assad has done more than any other to destabilize the region by "murdering his own people" and that both Russia and the Syrian regime have shown no concern for the suffering of the Syrian people creating one of the "worst humanitarian tragedies in history".[179]
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Assad opposed the 2003 invasion of Iraq despite a long-standing animosity between the Syrian and Iraqi governments. Assad used Syria's seat in one of the rotating positions on the United Nations Security Council to try to prevent the invasion of Iraq.[180]
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According to veteran U.S intelligence officer Malcolm Nance, the Syrian government had developed deep relations with former Vice Chairman of the Iraqi Revolutionary Command Council Izzat Ibrahim al-Douri. Despite the historical differences between the two Ba'ath factions, al-Douri reportedly urged Saddam to open oil pipelines with Syria, building a financial relationship with the Assad family. After the 2003 Invasion of Iraq, al-Douri allegedly fled to Damascus where he organised the National Command of the Islamic Resistance which co-ordinated major combat operations during the Iraqi insurgency.[181][182] In 2009, General David Petraeus, who was at the time heading the United States Central Command, told reporters from Al Arabiya that al-Douri was residing in Syria.[183]
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The U.S commander of the coalition forces in Iraq, George W. Casey Jr., accused Assad of providing funding, logistics, and training to insurgents in Iraq to launch attacks against U.S. and allied forces occupying Iraq.[184] Iraqi leaders such as former national security advisor Mowaffak al-Rubaie and former Prime Minister Nouri al-Maliki have accused Assad of harbouring and supporting Iraqi militants.[185][186]
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Diplomatic relations with Egypt were re-established in 2005 under his rule. In 1978, his father Hafez al-Assad severed diplomatic relations with the country after Egyptian President Anwar Sadat signed a peace treaty with Israel in the Camp David Accords.[citation needed] However, at the outset of the Arab Spring, Syrian state media focused primarily upon Hosni Mubarak of Egypt, demonising him as pro-U.S. and comparing him unfavourably with Assad.[187] Assad told The Wall Street Journal in this same period that he considered himself "anti-Israel" and "anti-West", and that because of these policies he was not in danger of being overthrown.[73]
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Following the election of Muslim Brotherhood politician Mohamed Morsi as the next Egyptian president, relations became extremely strained. The Muslim Brotherhood is a banned organisation and its membership is a capital offence in Syria. Egypt severed all relations with Syria in June 2013.[citation needed] Diplomatic relations were restored and the embassies reopened after Morsi regime was deposed just weeks later by current President Abdel Fattah el-Sisi. In July 2013, the two countries agreed to reopen the Egyptian consulate in Damascus and the Syrian consulate in Cairo.[188]
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In late-November 2016, some Arab media outlets reported Egyptian pilots arrived in mid-November to Syria to help the Syrian government in its fight against the Islamic State and Al Nusra front.[189] This came after Sisi publicly stated he supports the Syrian military in the civil war in Syria.[190] However, several days later, Egypt officially denied it has a military presence in Syria.[191]
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Although Egypt has not been vocal in support for any sides of Syria's ongoing civil war, Abdel Fattah el-Sisi said in 2016 that his nation's priority is "supporting national armies", which he said included the Syrian Armed Forces.[192] He also said regarding Egypt's stance in the conflict: "Our stance in Egypt is to respect the will of the Syrian people, and that a political solution to the Syrian crisis is the most suitable way, and to seriously deal with terrorist groups and disarm them".[192] Egypt's support for a political solution was reaffirmed in February 2017. Egypt's Foreign Ministry spokesperson, Ahmed Abu Zeid, said that Egyptian foreign minister Sameh Shoukry, "during his meeting with UN Special Envoy to Syria, Staffan de Mistura, on Saturday confirmed Egypt’s rejection of any military intervention that would violate Syrian sovereignty and undermine opportunities of the standing political solutions.”[193]
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Egypt has also expressed great interest in rebuilding postwar Syria, with many Egyptian companies and businessmen discussing investment opportunities in Syria as well as participation in the reconstruction effort. Tarik al-Nabrawi, president of Egypt's Engineers Syndicate said that 2018 will witness a “boom and influential role for Egyptian construction companies in Syria and to open the door for other companies — in the electricity, building material, steel, aluminum, ceramics and sanitary material fields among others — to work in the Syrian market and participate in rebuilding cities and facilities that the war has destroyed.”[194] On 25 February 2018, Syrian state news reported that an Egyptian delegation composed of "members of the Islamic and Arab Assembly for supporting Resistance and Future Pioneers movement as well as a number of figures", including Jamal Zahran and Farouk Hassan, visited the Syrian consulate in Cairo to express solidarity with the Syrian government.[195][better source needed]
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On March 5, 2005, Assad announced that Syrian forces would begin its withdrawal from Lebanon in his address to the Syrian parliament.[196] Syria completed its full withdrawal from Lebanon on April 30, 2005.[197]
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Assad argued that Syria's gradual withdrawal of troops from Lebanon was a result of the assassination of Lebanese Prime Minister Rafic Hariri.[198] According to testimony submitted to the Special Tribunal for Lebanon, when talking to Rafic Hariri at the Presidential Palace in Damascus in August 2004, Assad allegedly said to him, "I will break Lebanon over your [Hariri's] head and over Walid Jumblatt's head" if Émile Lahoud was not allowed to remain in office despite Hariri's objections; that incident was thought to be linked to Hariri's subsequent assassination.[199] In early 2015, journalist and ad hoc Lebanese-Syrian intermediary Ali Hamade stated before the Special Tribunal for Lebanon that Rafic Hariri's attempts to reduce tensions with Syria were considered a "mockery" by Assad.[200]
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Assad's position was considered by some to have been weakened by the withdrawal of Syrian troops from Lebanon following the Cedar Revolution in 2005. There has also been pressure from the U.S. concerning claims that Syria is linked to terrorist networks, exacerbated by Syrian condemnation of the assassination of Hezbollah military leader, Imad Mughniyah, in Damascus in 2008. Interior Minister Bassam Abdul-Majeed stated that "Syria, which condemns this cowardly terrorist act, expresses condolences to the martyr family and to the Lebanese people."[201]
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In May 2015, Lebanese politician Michel Samaha was sentenced to four-and-a-half years in jail for his role in a terrorist bomb plot that he claimed Assad was aware of.[202]
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The United States, the European Union, the March 14 Alliance, and France accuse Assad of providing support to militant groups active against Israel and opposition political groups. The latter category would include most political parties other than Hezbollah, Hamas, and the Islamic Jihad Movement in Palestine.[203]
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In a speech about the 2006 Lebanon War in August 2006, Assad said that Hezbollah had "hoisted the banner of victory", hailing its actions as a "successful resistance".[204]
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In April 2008, Assad told a Qatari newspaper that Syria and Israel had been discussing a peace treaty for a year. This was confirmed in May 2008, by a spokesman for Israeli Prime Minister Ehud Olmert. As well as the treaty, the future of the Golan Heights was being discussed. Assad was quoted in The Guardian as telling the Qatari paper:
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... there would be no direct negotiations with Israel until a new US president takes office. The US was the only party qualified to sponsor any direct talks, [Assad] told the paper, but added that the Bush administration "does not have the vision or will for the peace process. It does not have anything."[205]
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According to leaked American cables, Assad called Hamas an "uninvited guest" and said "If you want me to be effective and active, I have to have a relationship with all parties. Hamas is Muslim Brotherhood, but we have to deal with the reality of their presence," comparing Hamas to the Syrian Muslim Brotherhood which was crushed by his father, Hafez al-Assad. He also said Hamas would disappear if peace was brought to the Middle East.[206][207]
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Assad has indicated that the peace treaty that he envisions would not be the same kind of peace treaty Israel has with Egypt, where there is a legal border crossing and open trade. In a 2006 interview with Charlie Rose, Assad said: "There is a big difference between talking about a peace treaty and peace. A peace treaty is like a permanent ceasefire. There's no war, maybe you have an embassy, but you actually won't have trade, you won't have normal relations because people will not be sympathetic to this relation as long as they are sympathetic with the Palestinians: half a million who live in Syria and half a million in Lebanon and another few millions in other Arab countries."[198]
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During the visit of Pope John Paul II to Syria in 2001, Assad requested an apology to Muslims for the Crusades and criticised Israeli treatment of Palestinians, stating that "territories in Lebanon, the Golan and Palestine have been occupied by those who killed the principle of equality when they claimed that God created a people distinguished above all other peoples".[208] He also compared the suffering of Palestinians at the hands of the Israelis to the suffering endured by Jesus in Judea, and said that "they tried to kill the principles of all religions with the same mentality in which they betrayed Jesus Christ and the same way they tried to betray and kill the Prophet Muhammad".[209][210][211][212] Responding to accusations that his comment was antisemitic, Assad said that "We in Syria reject the term antisemitism. ... Semites are a race and [Syrians] not only belong to this race, but are its core. Judaism, on the other hand, is a religion which can be attributed to all races."[213] He also stated that "I was talking about Israelis, not Jews. ... When I say Israel carries out killings, it's the reality: Israel tortures Palestinians. I didn't speak about Jews," and criticised Western media outlets for misinterpreting his comments.[214]
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In February 2011, Assad backed an initiative to restore ten synagogues in Syria, which had a Jewish community numbering 30,000 in 1947, but only 200 Jews by 2011.[215]
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Assad met with U.S. scientists and policy leaders during a science diplomacy visit in 2009, and he expressed interest in building research universities and using science and technology to promote innovation and economic growth.[216]
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In response to Executive Order 13769 which mandated refugees from Syria be indefinitely suspended from being able to resettle in the United States, Assad appeared to defend the measure, stating "It's against the terrorists that would infiltrate some of the immigrants to the West... I think the aim of Trump is to prevent those people from coming," adding that it was "not against the Syrian people".[217] This reaction was in contrast to other leaders of countries affected by the Executive Order who condemned it.[218]
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North Korea is alleged to have aided Syria in developing and enhancing a ballistic missiles programme.[219][220] They also reportedly helped Syria develop a suspected nuclear reactor in the Deir ez-Zor Governorate. U.S. officials claimed the reactor was probably "not intended for peaceful purposes", but American senior intelligence officials doubted it was meant for the production of nuclear weapons.[221] The supposed nuclear reactor was destroyed by the Israeli Air Force in 2007 during Operation Orchard.[222] Following the airstrike, Syria wrote a letter to Secretary-General of the United Nations Ban Ki-moon calling the incursion a "breach of airspace of the Syrian Arab Republic" and "not the first time Israel has violated" Syrian airspace.[223]
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While hosting an 8 March 2015 delegation from North Korea led by North Korean Vice Minister of Foreign Affairs Sin Hong Chol, Assad stated that Syria and North Korea were being "targeted" because they are "among those few countries which enjoy real independence".[224]
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According to Syrian opposition sources, North Korea has sent army units to fight on behalf of Assad in the Syrian Civil War.[225]
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In 2018, the United Nations exposed North Korea for their facilitation of Syria's development of chemical weapons. According to a report by U.N. investigators, North Korea provided the Syrian government with acid-resistant tiles, valves, and thermometers. Additionally, DPRK missile technicians had been seen inside various Syrian chemical weapons facilities. This series of about 40 unreported shipments between North Korea and Syria, on which were the chemical weapons materials as well as prohibited ballistic missile parts, is said to have occurred throughout 2012–2017.
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In 2001, Assad condemned the September 11 attacks.[226] In 2003, Assad said in an interview with a Kuwaiti newspaper that he doubted the organization of al-Qaeda even existed. He was quoted as saying, "Is there really an entity called al-Qaeda? Was it in Afghanistan? Does it exist now?" He remarked about Osama bin Laden, commenting: "[he] cannot talk on the phone or use the Internet, but he can direct communications to the four corners of the world? This is illogical."[227]
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Assad's relationship with al-Qaeda and the Islamic State of Iraq and the Levant has been subject to much attention. In 2014, journalist and terrorism expert Peter R. Neumann maintained, citing Syrian records captured by the U.S. military in the Iraqi border town of Sinjar and leaked State Department cables, that "in the years that preceded the uprising, Assad and his intelligence services took the view that jihad could be nurtured and manipulated to serve the Syrian government's aims".[228] Other leaked cables contained remarks by US general David Petraeus which stated that "Bashar al-Asad was well aware that his brother-in-law 'Asif Shawqat, Director of Syrian Military Intelligence, had detailed knowledge of the activities of AQI facilitator Abu Ghadiya, who was using Syrian territory to bring foreign fighters and suicide bombers into Iraq", with later cables adding that Petraeus thought that "in time, these fighters will turn on their Syrian hosts and begin conducting attacks against Bashar al-Assad's regime itself".[229]
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During the Iraq War, the Assad government was accused of training jihadis and facilitating their passage into Iraq, with these infiltration routes remaining active until the Syrian Civil War; US General Jack Keane has stated that "Al Qaeda fighters who are back in Syria, I am confident, they are relying on much they learned in moving through Syria into Iraq for more than five years when they were waging war against the U.S. and Iraq Security Assistance Force".[230] Iraqi president Nouri al-Maliki threatened Assad with an international tribunal over the matter, and ultimately lead to the 2008 Abu Kamal raid, and United States airstrikes within Syria during the Iraq War.[231]
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During the Syrian Civil War, multiple opposition and anti-Assad parties in the conflict accused Assad of collusion with ISIS; several sources have claimed that ISIS prisoners were strategically released from Syrian prisons at the beginning of the Syrian Civil War in 2011.[232] It has also been reported that the Syrian government has bought oil directly from ISIL.[233] A businessman operating in both government and ISIL-controlled territory has claimed that "out of necessity" the Assad government has "had dealings with ISIS."[234] At its height, ISIS was making $40 million a month from the sale of oil, with spreadsheets and accounts kept by oil boss Abu Sayyaf suggesting the majority of the oil was sold to the Syrian government.[235][233] In 2014, U.S. Secretary of State John Kerry claimed that the Assad government has tactically avoided ISIS forces in order to weaken "moderate opposition" such as the Free Syrian Army,[236] as well as "purposely ceding some territory to them [ISIS] in order to make them more of a problem so he can make the argument that he is somehow the protector against them".[237] A Jane's Defence Weekly database analysis claimed that only a small percentage of the Syrian government's attacks were targeted at ISIS in 2014.[238] The Syrian National Coalition has stated that the Assad government has operatives inside ISIS,[239] as has the leadership of Ahrar al-Sham.[240] ISIS members captured by the FSA have claimed that they were directed to commit attacks by Assad regime operatives.[241] Aymenn Jawad Al-Tamimi disputed such assertions in February 2014, arguing that "ISIS has a record of fighting the regime on multiple fronts", many rebel factions have engaged in oil sales to the Syrian regime because it is "now largely dependent on Iraqi oil imports via Lebanese and Egyptian third-party intermediaries", and while "the regime is focusing its airstrikes [on areas] where it has some real expectations of advancing" claims that it "has not hit ISIS strongholds" are "untrue". He concluded: "Attempting to prove an ISIS-regime conspiracy without any conclusive evidence is unhelpful, because it draws attention away from the real reasons why ISIS grew and gained such prominence: namely, rebel groups tolerated ISIS."[242] Similarly, Max Abrams and John Glaser stated in the Los Angeles Times in December 2017 that "The evidence of Assad sponsoring Islamic State ... was about as strong as for Saddam Hussein sponsoring Al Qaeda."[243]
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In October 2014, U.S. Vice President Joe Biden stated that Turkey, Saudi Arabia and the United Arab Emirates had "poured hundreds of millions of dollars and tens of thousands of tons of weapons into anyone who would fight against Al-Assad, except that the people who were being supplied were al-Nusra, and al Qaeda, and the extremist elements of jihadis coming from other parts of the world."[244]
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Mark Lyall Grant, then Permanent Representative of the United Kingdom to the United Nations, stated at the outset of the American-led intervention in Syria that "ISIS is a monster that the Frankenstein of Assad has largely created".[245] French President François Hollande stated, "Assad cannot be a partner in the fight against terrorism, he is the de facto ally of jihadists".[246] Analyst Noah Bonsey of the International Crisis Group has suggested that ISIS are politically expedient for Assad, as "the threat of ISIS provides a way out [for Assad] because the regime believes that over time the U.S. and other countries backing the opposition will eventually conclude that the regime is a necessary partner on the ground in confronting this jihadi threat", while Robin Wright of the Middle East Program at the Woodrow Wilson International Center for Scholars has stated "the outside world's decision to focus on ISIS has ironically lessened the pressure on Assad."[247] In May 2015, Mario Abou Zeid of the Carnegie Middle East Center claimed that the recent Hezbollah offensive "has exposed the reality of the Islamic State of Iraq and the Levant (ISIS) in Qalamoun; that it is operated by the Syrian regime's intelligence", after ISIS in the region engaged in probing attacks against FSA units at the outset of the fighting.[248]
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On 1 June 2015, the United States stated that the Assad government was "making air-strikes in support" of an ISIS advance on Syrian opposition positions north of Aleppo.[249] Referring to the same ISIS offensive, the president of the Syrian National Coalition (SNC) Khaled Koja accused Assad of acting "as an air force for ISIS",[250] with the Defence Minister of the SNC Salim Idris claiming that approximately 180 Assad-linked officers were serving in ISIS and coordinating the group's attacks with the Syrian Arab Army.[251] Christopher Kozak of the Institute for the Study of War claims that "Assad sees the defeat of ISIS in the long term and prioritizes in the more short-and medium-term, trying to cripple the more mainline Syrian opposition [...] ISIS is a threat that lots of people can rally around and even if the regime trades … territory that was in rebel hands over to ISIS control, that weakens the opposition, which has more legitimacy [than ISIS]".[252]
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In 2015, the al-Nusra Front, al-Qaeda's Syrian affiliate,[253] issued a bounty worth millions of dollars for the killing of Assad.[254] The head of the al-Nusra Front, Abu Mohammad al-Julani, said he would pay "three million euros ($3.4 million) for anyone who can kill Bashar al-Assad and end his story".[255] In 2015, Assad's main regional opponents, Qatar, Saudi Arabia and Turkey, were openly backing the Army of Conquest, an umbrella rebel group that reportedly included the al-Qaeda linked al-Nusra Front and another Salafi coalition known as Ahrar al-Sham.[256][257][258] In the course of the conflict, ISIS has repeatedly massacred pro-government Alawite civilians and executed captured Syrian Alawite soldiers,[259][260] with most Alawites supporting Bashar al-Assad, himself an Alawite. ISIS, al-Nusra Front and affiliated jihadist groups reportedly took the lead in an offensive on Alawite villages in Latakia Governorate of Syria in August 2013.[259][261]
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During the interview with Jeremy Bowen in February 2015, Assad noted that the sources of the extreme ideology of Islamic State (ISIS) and other al-Qaeda affiliate groups are the Wahabbism that has been supported by kingdom of Saudi Arabia.[262]
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Assad condemned the November 2015 Paris attacks, but added that France's support for Syrian rebel groups had contributed to the spread of terrorism, and rejected sharing intelligence on terrorist threats with French authorities unless France altered its foreign policy on Syria.[263][264]
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During the Civil War, the Druze in Syria have primarily sought to remain neutral, "seeking to stay out of the conflict", while according to others over half support the Assad government despite its relative weakness in Druze areas.[265] The "Sheikhs of Dignity" movement, which had sought to remain neutral and to defend Druze areas,[266] blamed the government after its leader Sheikh Wahid al-Balous was assassinated and led to large scale protests which left six government security personnel dead.[267]
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It has been reported at various stages of the Syrian Civil War that other religious minorities such as the Alawites and Christians in Syria favour the Assad government because of its secularism,[268][269] however opposition exists among Assyrian Christians who have claimed that the Assad government seeks to use them as "puppets" and deny their distinct ethnicity, which is non-Arab.[270] Syria's Alawite community is considered in the foreign media to be Bashar al-Assad's core support base and is said to dominate the government's security apparatus,[271][272] yet in April 2016, BBC News reported that Alawite leaders released a document seeking to distance themselves from Assad.[273]
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In 2014, the Christian Syriac Military Council, the largest Christian organization in Syria, allied with the Free Syrian Army opposed to Assad,[274] joining other Syrian Christian militias such as the Sutoro who had joined the Syrian opposition against the Assad government.[275]
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In June 2014, Assad won a disputed presidential election held in government-controlled areas (and ignored in opposition-held areas[276] and Kurdish areas governed by the Democratic Union Party[277]) with 88.7% of the vote. Turnout was estimated to be 73.42% of eligible voters, including those in rebel-controlled areas.[278] Individuals interviewed in a "Sunni-dominated, middle-class neighborhood of central Damascus" said there was significant support for Assad among the Sunnis in Syria.[279] Attempts to hold an election under the circumstances of an ongoing civil war were criticised by UN Secretary-General Ban Ki-moon.[280]
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Assad's support from the right-wing has mostly been from the far-right, both before and during the Syrian Civil War. David Duke hosted a televised speech on Syrian national television in 2005.[281] Georgy Shchokin was invited to Syria in 2006 by the Syrian foreign minister and awarded a medal by the Ba'ath party, while Shchokin's institution the Interregional Academy of Personnel Management awarded Assad an honorary doctorate.[282] In 2014, the Simon Wiesenthal Center claimed that Bashar al-Assad had sheltered Alois Brunner in Syria, and alleged that Brunner advised the Assad government on purging Syria's Jewish community.[283][284]
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The National Front in France has been a prominent supporter of Assad since the outbreak of the Syrian Civil War,[285] as has the former leader of the Third Way.[281] In Italy, the parties New Front and CasaPound have both been supportive of Assad, with the New Front putting up pro-Assad posters and the party's leader praising Assad's commitment to the ideology of Arab nationalism in 2013,[286] while CasaPound has also issued statements of support for Assad.[287] Syrian Social Nationalist Party representative Ouday Ramadan has worked in Italy to organize support movements for Assad.[288] Other political parties expressing support for Assad include the National Democratic Party of Germany,[289] the National Revival of Poland,[281] the Freedom Party of Austria,[290] the Bulgarian Ataka party,[291] the Hungarian Jobbik party,[292] the Serbian Radical Party,[293] the Portuguese National Renovator Party,[294] as well as the Spanish Falange Española de las JONS[295] and Authentic Falange parties.[296] The Greek neo-Nazi political party Golden Dawn has spoken out in favour of Assad,[297] and the Strasserist group Black Lily has claimed to have sent mercenaries to Syria to fight alongside the Syrian army.[298]
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Nick Griffin, the former leader of the British National Party, was chosen by the Assad government to represent the UK as an ambassador and at government-held conferences; Griffin has been an official guest of the Syrian government three times since the beginning of the Civil War.[299] The European Solidarity Front for Syria, representing several far-right political groups from across Europe, has had their delegations received by the Syrian national parliament, with one delegation being met by Syrian Head of Parliament Mohammad Jihad al-Laham, Prime Minister Wael Nader al-Halqi and Deputy Foreign Minister Faisal Mekdad.[288] In March 2015, Assad met with Filip Dewinter of the Belgian party Vlaams Belang.[300] In 2016, Assad met with a French delegation,[301] which included former leader of the youth movement of the National Front Julien Rochedy [fr].[302]
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Left-wing support for Assad has been split since the start of the Syrian Civil War;[303] the Assad government has been accused of cynically manipulating sectarian identity and anti-imperialism to continue its worst activities.[304] During a visit to the University of Damascus in November 2005, British politician George Galloway said of Assad, and of the country he leads: "For me he is the last Arab ruler, and Syria is the last Arab country. It is the fortress of the remaining dignity of the Arabs,"[305] and a "breath of fresh air".[306]
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Hadash has expressed support for the Government of Bashar al-Assad.[307] Chairman of the Workers' Party of Korea and Supreme Leader of North Korea Kim Jong-un has expressed support for Assad in face of a growing civil war.[308] The leader of the United Socialist Party of Venezuela and President of Venezuela Nicolás Maduro reiterated his full support for the Syrian people in their struggle for peace and reaffirms its strong condemnation of "the destabilizing actions that are still in Syria, with encouragement from members of NATO".[309] The leader of the National Liberation Front and President of Algeria, Abdelaziz Bouteflika, has sent a cable of congratulations to Assad, on the occasion of winning his presidential elections.[310] The leader of Guyana's People's Progressive Party and President of Guyana, Donald Ramotar, said that Assad's win in the presidential election is a great victory for Syria.[311] The leader of the African National Congress and President of South Africa, Jacob Zuma, congratulated Assad on winning the presidential elections.[312] The leader of the Sandinista National Liberation Front and President of Nicaragua, Daniel Ortega, has said that Assad's victory (in the presidential elections) is an important step to "attain peace in Syria and a clear cut evidence that the Syrian people trust their president as a national leader and support his policies which aim at maintaining Syria's sovereignty and unity".[313] The Popular Front for the Liberation of Palestine supports the Assad government.[314][315] The leader of Fatah and President of the State of Palestine, Mahmoud Abbas, has said that electing President Assad means "preserving Syria's unity and sovereignty and that it will help end the crisis and confront terrorism, wishing prosperity and safety to Syria".[316][317][318]
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President of Belarus Alexander Lukashenko has expressed confidence that Syria will eliminate the current crisis and continue under the leadership of President al-Assad "the fight against terrorism and foreign interference in its internal affairs".[319]
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In order to promote their image and media-portrayal overseas, Bashar al-Assad and his wife Asma al-Assad hired United States- and United Kingdom-based PR firms and consultants.[320] In particular, these secured photoshoots for Asma al-Assad with fashion and celebrity magazines, including Vogue's March 2011 "A Rose in the Desert".[321][322] These firms included Bell Pottinger and Brown Lloyd James, with the latter being paid $5,000 a month for their services.[320][323]
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At the outset of the Syrian Civil War, Syrian government networks were hacked by the group Anonymous, revealing that an ex-Al Jazeera journalist had been hired to advise Assad on how to manipulate the public opinion of the United States. Among the advice was the suggestion to compare the popular uprising against the regime to the Occupy Wall Street protests.[324] In a separate e-mail leak several months later by the Supreme Council of the Syrian Revolution, which were published by The Guardian, it was revealed that Assad's consultants had coordinated with an Iranian government media advisor.[325] In March 2015, an expanded version of the aforementioned leaks was handed to the Lebanese NOW News website and published the following month.[326]
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After the Syrian Civil War began, the Assads started a social media campaign which included building a presence on Facebook, YouTube, and most notably Instagram.[323] A Twitter account for Assad was reportedly activated, however it remained unverified.[327] This resulted in much criticism, and was described by The Atlantic Wire as "a propaganda campaign that ultimately has made the [Assad] family look worse".[328] The Assad government has also allegedly arrested activists for creating Facebook groups that the government disapproved of,[103] and has appealed directly to Twitter to remove accounts it disliked.[329] The social media campaign, as well as the previously leaked e-mails, led to comparisons with Hannah Arendt's A Report on the Banality of Evil by The Guardian, The New York Times and the Financial Times.[330][331][332]
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In October 2014, 27,000 photographs depicting torture committed by the Assad government were put on display at the United States Holocaust Memorial Museum.[333][334] Lawyers were hired to write a report on the images by the British law firm Carter-Ruck, which in turn was funded by the Government of Qatar.[335]
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In November 2014, the Quilliam Foundation reported that a propaganda campaign, which they claimed had the "full backing of Assad", spread false reports about the deaths of Western-born jihadists in order to deflect attention from the government's alleged war crimes. Using a picture of a Chechen fighter from the Second Chechen War, pro-Assad media reports disseminated to Western media outlets, leading them to publish a false story regarding the death of a non-existent British jihadist.[336]
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In 2015, Russia intervened in the Syrian Civil War in support of Assad, and on 21 October 2015, Assad flew to Moscow and met with Russian president Vladimir Putin, who said regarding the civil war: "this decision can be made only by the Syrian people. Syria is a friendly country. And we are ready to support it not only militarily but politically as well."[337]
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Assad speaks fluent English and basic conversational French, having studied at the Franco-Arab al-Hurriyah school in Damascus.[338]
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In December 2000, Assad married Asma al-Assad (née Akhras), a British citizen of Syrian origin from Acton, London.[339][340] In 2001, Asma gave birth to their first child, a son named Hafez after the child's grandfather Hafez al-Assad. Their daughter Zein was born in 2003, followed by their second son Karim in 2004.[40]
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Assad's sister, Bushra al-Assad, and mother, Anisa Makhlouf, left Syria in 2012 and 2013, respectively, to live in the United Arab Emirates.[40] Makhlouf died in Damascus in 2016.[341]
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Revoked and returned distinctions are marked with red.
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Bibliography
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Reports
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Laughter is a physical reaction in humans consisting usually of rhythmical, often audible contractions of the diaphragm and other parts of the respiratory system resulting most commonly in forms of "hee-hee" or "ha-ha". It is a response to certain external or internal stimuli. Laughter can arise from such activities as being tickled,[1] or from humorous stories or thoughts.[2] Most commonly, it is considered a auditory expression of a number of positive emotional states, such as joy, mirth, happiness, relief, etc. On some occasions, however, it may be caused by contrary emotional states such as embarrassment, surprise, or confusion such as nervous laughter or courtesy laugh. Age, gender, education, language, and culture are all indicators[3] as to whether a person will experience laughter in a given situation. Some other species of primate (chimpanzees, gorillas and orangutans) show laughter-like vocalizations in response to physical contact such as wrestling, play chasing or tickling.
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Laughter is a part of human behavior regulated by the brain, helping humans clarify their intentions in social interaction and providing an emotional context to conversations. Laughter is used as a signal for being part of a group—it signals acceptance and positive interactions with others. Laughter is sometimes seen as contagious, and the laughter of one person can itself provoke laughter from others as a positive feedback.[4]
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The study of humor and laughter, and its psychological and physiological effects on the human body, is called gelotology.
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Laughter might be thought of as an audible expression or appearance of excitement, an inward feeling of joy and happiness. It may ensue from jokes, tickling, and other stimuli completely unrelated to psychological state, such as nitrous oxide. One group of researchers speculated that noises from infants as early as 16 days old may be vocal laughing sounds or laughter,[5] however the weight of the evidence supports its appearance at 15 weeks to four months of age.
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Laughter researcher Robert Provine [es] said: "Laughter is a mechanism everyone has; laughter is part of universal human vocabulary. There are thousands of languages, hundreds of thousands of dialects, but everyone speaks laughter in pretty much the same way." Babies have the ability to laugh before they ever speak. Children who are born blind and deaf still retain the ability to laugh.[6]
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Provine argues that "Laughter is primitive, an unconscious vocalization." Provine argues that it probably is genetic. In a study of the "Giggle Twins", two happy twins who were separated at birth and only reunited 43 years later, Provine reports that "until they met each other, neither of these exceptionally happy ladies had known anyone who laughed as much as they did." They reported this even though they had been brought together by their adoptive parents, who they indicated were "undemonstrative and dour". He indicates that the twins "inherited some aspects of their laugh sound and pattern, readiness to laugh, and maybe even taste in humor".[7]
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Norman Cousins developed a recovery program incorporating megadoses of Vitamin C, along with a positive attitude, love, faith, hope, and laughter induced by Marx Brothers films. "I made the joyous discovery that ten minutes of genuine belly laughter had an anesthetic effect and would give me at least two hours of pain-free sleep," he reported. "When the pain-killing effect of the laughter wore off, we would switch on the motion picture projector again and not infrequently, it would lead to another pain-free interval."[8][9]
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Scientists have noted the similarity in forms of laughter induced by tickling among various primates, which suggests that laughter derives from a common origin among primate species.[10][11]
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A very rare neurological condition has been observed whereby the sufferer is unable to laugh out loud, a condition known as aphonogelia.[12]
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Neurophysiology indicates that laughter is linked with the activation of the ventromedial prefrontal cortex, that produces endorphins.[13] Scientists have shown that parts of the limbic system are involved in laughter. This system is involved in emotions and helps us with functions necessary for humans' survival. The structures in the limbic system that are involved in laughter are the hippocampus and the amygdala.[14]
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The December 7, 1984, Journal of the American Medical Association describes the neurological causes of laughter as follows:
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Some drugs are well known for their laughter-facilitating properties (e. g. ethanol and cannabis), while the others, like salvinorin A (the active ingredient of Salvia divinorum), can even induce bursts of uncontrollable laughter.[15]
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A research article was published December 1, 2000 on the psycho-evolution of laughter (Panksepp 2000).[16]
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A link between laughter and healthy function of blood vessels was first reported in 2005 by researchers at the University of Maryland Medical Center with the fact that laughter causes the dilatation of the inner lining of blood vessels, the endothelium, and increases blood flow.[17] Drs. Michael Miller (University of Maryland) and William Fry (Stanford) theorize that beta-endorphin like compounds released by the hypothalamus activate receptors on the endothelial surface to release nitric oxide, thereby resulting in dilation of vessels. Other cardioprotective properties of nitric oxide include reduction of inflammation and decreased platelet aggregation.[18]
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Laughter has proven beneficial effects on various other aspects of biochemistry. It has been shown to lead to reductions in stress hormones such as cortisol and epinephrine. When laughing the brain also releases endorphins that can relieve some physical pain.[19] Laughter also boosts the number of antibody-producing cells and enhances the effectiveness of T-cells, leading to a stronger immune system.[20] A 2000 study found that people with heart disease were 40 percent less likely to laugh and be able to recognize humor in a variety of situations, compared to people of the same age without heart disease.[21]
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A number of studies using methods of conversation analysis and discourse analysis have documented the systematic workings of laughter in a variety of interactions, from casual conversations to interviews, meetings, and therapy sessions.[22] Working with recorded interactions, researchers have created detailed transcripts that indicate not only the presence of laughter but also features of its production and placement.
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These studies challenge several widely held assumptions about the nature of laughter. Contrary to notions that it is spontaneous and involuntary, research documents that laughter is sequentially organized and precisely placed relative to surrounding talk. Far more than merely a response to humor, laughter often works to manage delicate and serious moments. More than simply an external behavior “caused” by an inner state, laughter is highly communicative and helps accomplish actions and regulate relationships.
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Common causes for laughter are sensations of joy and humor; however, other situations may cause laughter as well.
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A general theory that explains laughter is called the relief theory. Sigmund Freud summarized it in his theory that laughter releases tension and "psychic energy". This theory is one of the justifications of the beliefs that laughter is beneficial for one's health.[23] This theory explains why laughter can be used as a coping mechanism when one is upset, angry or sad.
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Philosopher John Morreall theorizes that human laughter may have its biological origins as a kind of shared expression of relief at the passing of danger. Friedrich Nietzsche, by contrast, suggested laughter to be a reaction to the sense of existential loneliness and mortality that only humans feel.
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For example: a joke creates an inconsistency and the audience automatically tries to understand what the inconsistency means; if they are successful in solving this 'cognitive riddle' and they realize that the surprise was not dangerous, they laugh with relief. Otherwise, if the inconsistency is not resolved, there is no laugh, as Mack Sennett pointed out: "when the audience is confused, it doesn't laugh." This is one of the basic laws of a comedian, referred to as "exactness". It is important to note that sometimes the inconsistency may be resolved and there may still be no laugh.[citation needed] Because laughter is a social mechanism, an audience may not feel as if they are in danger, and the laugh may not occur. In addition, the extent of the inconsistency (and aspects of its timing and rhythm) has to do with the amount of danger the audience feels, and how hard or long they laugh.
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Laughter can also be brought on by tickling. Although most people find it unpleasant, being tickled often causes heavy laughter, thought to be an (often uncontrollable) reflex of the body.[24][25]
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Laughter can be classified according to:
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There are 10 different types of laughter:[28]
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A normal laugh has the structure of "ha-ha-ha" or "ho-ho-ho". It is unnatural, and one is physically unable, to have a laugh structure of "ha-ho-ha-ho". The usual variations of a laugh most often occur in the first or final note in a sequence- therefore, "ho-ha-ha" or "ha-ha-ho" laughs are possible. Normal note durations with unusually long or short "inter-note intervals" do not happen due to the result of the limitations of our vocal cords. This basic structure allows one to recognize a laugh despite individual variants.[29]
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It has also been determined that eyes moisten during laughter as a reflex from the tear glands.[20]
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Laughter is not always a pleasant experience and is associated with several negative phenomena. Excessive laughter can lead to cataplexy, and unpleasant laughter spells, excessive elation, and fits of laughter can all be considered negative aspects of laughter. Unpleasant laughter spells, or "sham mirth," usually occur in people who have a neurological condition, including patients with pseudobulbar palsy, multiple sclerosis and Parkinson's disease. These patients appear to be laughing out of amusement but report that they are feeling undesirable sensations "at the time of the punch line".
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Excessive elation is a common symptom associated with manic-depressive psychoses and mania/hypomania. Those who suffer from schizophrenic psychoses seem to suffer the opposite—they do not understand humor or get any joy out of it. A fit describes an abnormal time when one cannot control the laughter or one's body, sometimes leading to seizures or a brief period of unconsciousness. Some believe that fits of laughter represent a form of epilepsy.[30]
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Laughter has been used as a therapeutic tool for many years because it is a natural form of medicine. Laughter is available to everyone and it provides benefits to a person's physical, emotional, and social well being. Some of the benefits of using laughter therapy are that it can relieve stress and relax the whole body.[31] It can also boost the immune system and release endorphins to relieve pain.[32] Additionally, laughter can help prevent heart disease by increasing blood flow and improving the function of blood vessels.[33] Some of the emotional benefits include diminishing anxiety or fear, improving overall mood, and adding joy to one's life. Laughter is also known to reduce allergic reactions in a preliminary study related to dust mite allergy sufferers.[34]
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Laughter therapy also has some social benefits, such as strengthening relationships, improving teamwork and reducing conflicts, and making oneself more attractive to others. Therefore, whether a person is trying to cope with a terminal illness or just trying to manage their stress or anxiety levels, laughter therapy can be a significant enhancement to their life.[35][36]
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Ramon Mora-Ripoll in his study on The Therapeutic Value Of Laughter In Medicine, stated that laughter therapy is an inexpensive and simple tool that can be used in patient care.[37] It is a tool that is only beneficial when experienced and shared. Care givers need to recognize the importance of laughter and possess the right attitude to pass it on. He went on to say that since this type of therapy is not widely practiced, health care providers will have to learn how to effectively use it. In another survey, researchers looked at how Occupational Therapists and other care givers viewed and used humor with patients as a means of therapy.[38] Many agreed that while they believed it was beneficial to the patients, the proper training was lacking in order to effectively use It.[38] Even though laughter and humor has been used therapeutically in medical conditions, according to Mora-Ripoll, there was not enough data to clearly establish that laughter could be used as an overall means of healing. It did suggest that additional research was still needed since "well-designed randomized controlled trials have not been conducted to date validating the therapeutic efficacy of laughter."[37]
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In 2017, an institution in Japan conducted an open-label randomized controlled trial to evaluate the effects of laughter therapy on quality of life in patients with cancer.[39] The study used laughter yoga, comedy, clown and jokes. The result showed that laughter therapy was helpful in improving quality of life and cancer symptoms in some areas for cancer survivors. Improvements were seen in the area of depression, anxiety and stress levels. There were limited harmful side effects. Laughter therapy should be used in conjunction with other cancer treatment.[39]
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Laughter in literature, although considered understudied by some,[40] is a subject that has received attention in the written word for millennia. The use of humor and laughter in literary works has been studied and analyzed by many thinkers and writers, from the Ancient Greek philosophers onward. Henri Bergson's Laughter: An Essay on the Meaning of the Comic (Le rire, 1901) is a notable 20th-century contribution.
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For Herodotus, laughers can be distinguished into three types:[41]
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According to Donald Lateiner, Herodotus reports about laughter for valid literary and historiological reasons. "Herodotus believes either that both nature (better, the gods' direction of it) and human nature coincide sufficiently, or that the latter is but an aspect or analogue of the former, so that to the recipient the outcome is suggested."[41] When reporting laughter, Herodotus does so in the conviction that it tells the reader something about the future and/or the character of the person laughing. It is also in this sense that it is not coincidental that in about 80% of the times when Herodotus speaks about laughter it is followed by a retribution. "Men whose laughter deserves report are marked, because laughter connotes scornful disdain, disdain feeling of superiority, and this feeling and the actions which stem from it attract the wrath of the gods."[41]
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There is a wide range of experiences with laughter. A 1999 study by two humor researchers asked 80 people to keep a daily laughter record, and found they laughed an average of 18 times per day. However, their study also found a wide range, with some people laughing as many as 89 times per day, and others laughing as few as 0 times per day.[42]
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Thomas Hobbes understood the superiority of the laughter in a much wider sense than the aesthetic and quasi-moral sense of Aristotle, the seeds of the superiority theory are definitely Greek.[43] In Hobbes' own words: "The passion of laughter is nothing else but sudden glory arising from sudden conception of some eminency in ourselves, by comparison with the infirmity of others, or with our own formerly."
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Philosopher Arthur Schopenhauer devotes the 13th chapter of the first part of his major work, The World as Will and Representation, to laughter.
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Friedrich Nietzsche distinguishes two different purposes for the use of laughter. In a positive sense, "man uses the comical as a therapy against the restraining jacket of logic, morality and reason. He needs from time to time a harmless demotion from reason and hardship and in this sense laughter has a positive character for Nietzsche."[44] Laughter can, however, also have a negative connotation when it is used for the expression of social conflict. This is expressed, for instance, in The Gay Science: "Laughter -- Laughter means to be schadenfroh, but with clear conscience."[45]
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"Possibly Nietzsche's works would have had a totally different effect, if the playful, ironical and joking in his writings would have been factored in better"[46]
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In Laughter: An Essay on the Meaning of the Comic, French philosopher Henri Bergson, renowned for his philosophical studies on materiality, memory, life and consciousness, tries to determine the laws of the comic and to understand the fundamental causes of comic situations.[47] His method consists in determining the causes of the comic instead of analyzing its effects. He also deals with laughter in relation to human life, collective imagination and art, to have a better knowledge of society.[48] One of the theories of the essay is that laughter, as a collective activity, has a social and moral role, in forcing people to eliminate their vices. It is a factor of uniformity of behaviours, as it condemns ludicrous and eccentric behaviours.[49]
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Anthony Ludovici developed the thoughts of Hobbes and Darwin even further in The Secret of Laughter. His conviction is that there's something sinister in laughter, and that the modern omnipresence of humour and the idolatry of it are signs of societal weakness, as instinctive resort to humour became a sort of escapism from responsibility and action. Ludovici considered laughter to be an evolutionary trait and he offered many examples of different triggers for laughter with their own distinct explanations.[50]
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en/5111.html.txt
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1 |
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A river is a natural flowing watercourse, usually freshwater, flowing towards an ocean, sea, lake or another river. In some cases a river flows into the ground and becomes dry at the end of its course without reaching another body of water. Small rivers can be referred to using names such as stream, creek, brook, rivulet, and rill. There are no official definitions for the generic term river as applied to geographic features,[1] although in some countries or communities a stream is defined by its size. Many names for small rivers are specific to geographic location; examples are "run" in some parts of the United States, "burn" in Scotland and northeast England, and "beck" in northern England. Sometimes a river is defined as being larger than a creek,[2] but not always: the language is vague.[1]
|
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5 |
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Rivers are part of the hydrological cycle. Water generally collects in a river from precipitation through a drainage basin from surface runoff and other sources such as groundwater recharge, springs, and the release of stored water in natural ice and snowpacks (e.g., from glaciers).
|
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+
Rivers and streams are often considered major features within a landscape, however, they actually only cover around 0.1% of the land on Earth. They are made more obvious and significant to humans by the fact that many human cities and civilizations are built around the freshwater supplied by rivers and streams.[3] Most of the major cities of the world are situated on the banks of rivers, as they are, or were, used as a source of water, for obtaining food, for transport, as borders, as a defensive measure, as a source of hydropower to drive machinery, for bathing, and as a means of disposing of waste.
|
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+
|
9 |
+
Potamology is the scientific study of rivers, while limnology is the study of inland waters in general.
|
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+
|
11 |
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A river begins at a source (or more often several sources), follows a path called a course, and ends at a mouth or mouths. The water in a river is usually confined to a channel, made up of a stream bed between banks. In larger rivers there is often also a wider floodplain shaped by flood-waters over-topping the channel. Floodplains may be very wide in relation to the size of the river channel. This distinction between river channel and floodplain can be blurred, especially in urban areas where the floodplain of a river channel can become greatly developed by housing and industry.
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|
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Rivers can flow down mountains, through valleys (depressions) or along plains, and can create canyons or gorges.
|
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The term upriver (or upstream) refers to the direction towards the source of the river, i.e. against the direction of flow. Likewise, the term downriver (or downstream) describes the direction towards the mouth of the river, in which the current flows.
|
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|
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The term left bank refers to the left bank in the direction of flow, right bank to the right.
|
18 |
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|
19 |
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The river channel typically contains a single stream of water, but some rivers flow as several interconnecting streams of water, producing a braided river.[4] Extensive braided rivers are now found in only a few regions worldwide,[citation needed] such as the South Island of New Zealand. They also occur on peneplains and some of the larger river deltas. Anastamosing rivers are similar to braided rivers and are quite rare. They have multiple sinuous channels carrying large volumes of sediment. There are rare cases of river bifurcation in which a river divides and the resultant flows ending in different seas. An example is the bifurcation of Nerodime River in Kosovo.
|
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A river flowing in its channel is a source of energy which acts on the river channel to change its shape and form. In 1757, the German hydrologist Albert Brahms empirically observed that the submerged weight of objects that may be carried away by a river is proportional to the sixth power of the river flow speed.[5] This formulation is also sometimes called Airy's law.[6] Thus, if the speed of flow is doubled, the flow would dislodge objects with 64 times as much submerged weight. In mountainous torrential zones this can be seen as erosion channels through hard rocks and the creation of sands and gravels from the destruction of larger rocks. A river valley that was created from a U-shaped glaciated valley, can often easily be identified by the V-shaped channel that it has carved. In the middle reaches where a river flows over flatter land, meanders may form through erosion of the river banks and deposition on the inside of bends. Sometimes the river will cut off a loop, shortening the channel and forming an oxbow lake or billabong. Rivers that carry large amounts of sediment may develop conspicuous deltas at their mouths. Rivers whose mouths are in saline tidal waters may form estuaries.
|
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23 |
+
Throughout the course of the river, the total volume of water transported downstream will often be a combination of the free water flow together with a substantial volume flowing through sub-surface rocks and gravels that underlie the river and its floodplain (called the hyporheic zone). For many rivers in large valleys, this unseen component of flow may greatly exceed the visible flow.
|
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|
25 |
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Most but not all rivers flow on the surface. Subterranean rivers flow underground in caves or caverns. Such rivers are frequently found in regions with limestone geologic formations. Subglacial streams are the braided rivers that flow at the beds of glaciers and ice sheets, permitting meltwater to be discharged at the front of the glacier. Because of the gradient in pressure due to the overlying weight of the glacier, such streams can even flow uphill.
|
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+
|
27 |
+
An intermittent river (or ephemeral river) only flows occasionally and can be dry for several years at a time. These rivers are found in regions with limited or highly variable rainfall, or can occur because of geologic conditions such as a highly permeable river bed. Some ephemeral rivers flow during the summer months but not in the winter. Such rivers are typically fed from chalk aquifers which recharge from winter rainfall. In England these rivers are called bournes and give their name to places such as Bournemouth and Eastbourne. Even in humid regions, the location where flow begins in the smallest tributary streams generally moves upstream in response to precipitation and downstream in its absence or when active summer vegetation diverts water for evapotranspiration. Normally-dry rivers in arid zones are often identified as arroyos or other regional names.
|
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+
|
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+
The meltwater from large hailstorms can create a slurry of water, hail and sand or soil, forming temporary rivers.[7]
|
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+
|
31 |
+
Rivers have been classified by many criteria including their topography, their biotic status, and their relevance to white water rafting or canoeing activities.
|
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+
|
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Rivers can generally be classified as either alluvial, bedrock, or some mix of the two. Alluvial rivers have channels and floodplains that are self-formed in unconsolidated or weakly consolidated sediments. They erode their banks and deposit material on bars and their floodplains. Bedrock rivers form when the river downcuts through the modern sediments and into the underlying bedrock. This occurs in regions that have experienced some kind of uplift (thereby steepening river gradients) or in which a particular hard lithology causes a river to have a steepened reach that has not been covered in modern alluvium. Bedrock rivers very often contain alluvium on their beds; this material is important in eroding and sculpting the channel. Rivers that go through patches of bedrock and patches of deep alluvial cover are classified as mixed bedrock-alluvial.
|
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+
|
35 |
+
Alluvial rivers can be further classified by their channel pattern as meandering, braided, wandering, anastomose, or straight. The morphology of an alluvial river reach is controlled by a combination of sediment supply, substrate composition, discharge, vegetation, and bed aggradation.
|
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|
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+
At the start of the 20th century William Morris Davis devised the "cycle of erosion" method of classifying rivers based on their "age". Although Davis's system is still found in many books today, after the 1950s and 1960s it became increasingly criticized and rejected by geomorphologists. His scheme did not produce testable hypotheses and was therefore deemed non-scientific.[8] Examples of Davis's river "ages" include:
|
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+
|
39 |
+
The ways in which a river's characteristics vary between its upper and lower course are summarized by the Bradshaw model. Power-law relationships between channel slope, depth, and width are given as a function of discharge by "river regime".
|
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+
|
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+
There are several systems of classification based on biotic conditions typically assigning classes from the most oligotrophic or unpolluted through to the most eutrophic or polluted.[9] Other systems are based on a whole eco-system approach such as developed by the New Zealand Ministry for the Environment.[10]
|
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+
In Europe, the requirements of the Water Framework Directive has led to the development of a wide range of classification methods including classifications based on fishery status[11]
|
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+
A system of river zonation used in francophone communities[12][13] divides rivers into three primary zones:
|
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+
|
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+
The International Scale of River Difficulty is used to rate the challenges of navigation—particularly those with rapids. Class I is the easiest and Class VI is the hardest.
|
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+
|
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+
The Strahler Stream Order ranks rivers based on the connectivity and hierarchy of contributing tributaries. Headwaters are first order while the Amazon River is twelfth order. Approximately 80% of the rivers and streams in the world are of the first and second order.
|
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+
|
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+
In certain languages, distinctions are made among rivers based on their stream order. In French, for example, rivers that run to the sea are called fleuve, while other rivers are called rivière. For example, in Canada, the Churchill River in Manitoba is called la rivière Churchill as it runs to Hudson Bay, but the Churchill River in Labrador is called le fleuve Churchill as it runs to the Atlantic Ocean. As most rivers in France are known by their names only without the word rivière or fleuve (e.g. la Seine, not le fleuve Seine, even though the Seine is classed as a fleuve), one of the most prominent rivers in the Francophonie commonly known as fleuve is le fleuve Saint-Laurent (the Saint Lawrence River).
|
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|
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Since many fleuves are large and prominent, receiving many tributaries, the word is sometimes used to refer to certain large rivers that flow into other fleuves; however, even small streams that run to the sea are called fleuve (e.g. fleuve côtier, "coastal fleuve").
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Rivers have been a source of food since pre-history.[14] They are often a rich source of fish and other edible aquatic life, and are a major source of fresh water, which can be used for drinking and irrigation. Rivers help to determine the urban form of cities and neighbourhoods and their corridors often present opportunities for urban renewal through the development of foreshoreways such as river walks. Rivers also provide an easy means of disposing of waste water and, in much of the less developed world, other wastes.
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+
Rivers have been used for navigation for thousands of years. The earliest evidence of navigation is found in the Indus Valley Civilization, which existed in northwestern India around 3300 BC.[15] Riverine navigation provides a cheap means of transport, and is still used extensively on most major rivers of the world like the Amazon, the Ganges, the Nile, the Mississippi, and the Indus. Since river boats are often not regulated, they contribute a large amount to global greenhouse gas emissions, and to local cancer due to inhaling of particulates emitted by the transports.[16][17]
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Rivers have been important in determining political boundaries and defending countries. For example, the Danube was a long-standing border of the Roman Empire, and today it forms most of the border between Bulgaria and Romania. The Mississippi in North America and the Rhine in Europe are major east-west boundaries in those continents. The Orange and Limpopo Rivers in southern Africa form the boundaries between provinces and countries along their routes.
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In some heavily forested regions such as Scandinavia and Canada, lumberjacks use the river to float felled trees downstream to lumber camps for further processing, saving much effort and cost by transporting the huge heavy logs by natural means.
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Fast flowing rivers and waterfalls are widely used as sources of energy, via watermills and hydroelectric plants. Evidence of watermills shows them in use for many hundreds of years, for instance in Orkney at Dounby Click Mill. Prior to the invention of steam power, watermills for grinding cereals and for processing wool and other textiles were common across Europe. In the 1890s the first machines to generate power from river water were established at places such as Cragside in Northumberland and in recent decades there has been a significant increase in the development of large scale power generation from water, especially in wet mountainous regions such as Norway.
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+
The coarse sediments, gravel, and sand, generated and moved by rivers are extensively used in construction. In parts of the world this can generate extensive new lake habitats as gravel pits re-fill with water. In other circumstances it can destabilise the river bed and the course of the river and cause severe damage to spawning fish populations which rely on stable gravel formations for egg laying. In upland rivers, rapids with whitewater or even waterfalls occur. Rapids are often used for recreation, such as whitewater kayaking.[18]
|
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+
The organisms in the riparian zone respond to changes in river channel location and patterns of flow. The ecosystem of rivers is generally described by the river continuum concept, which has some additions and refinements to allow for dams and waterfalls and temporary extensive flooding. The concept describes the river as a system in which the physical parameters, the availability of food particles and the composition of the ecosystem are continuously changing along its length. The food (energy) that remains from the upstream part is used downstream.
|
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The general pattern is that the first order streams contain particulate matter (decaying leaves from the surrounding forests) which is processed there by shredders like Plecoptera larvae. The products of these shredders are used by collectors, such as Hydropsychidae, and further downstream algae that create the primary production become the main food source of the organisms. All changes are gradual and the distribution of each species can be described as a normal curve, with the highest density where the conditions are optimal. In rivers succession is virtually absent and the composition of the ecosystem stays fixed in time.
|
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+
The chemistry of rivers is complex and depends on inputs from the atmosphere, the geology through which it travels and the inputs from man's activities. The chemical composition of the water has a large impact on the ecology of that water for both plants and animals and it also affects the uses that may be made of the river water. Understanding and characterising river water chemistry requires a well designed and managed sampling and analysis.
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Some rivers generate brackish water by having their river mouth in the ocean.
|
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+
Flooding is a natural part of a river's cycle. The majority of the erosion of river channels and the erosion and deposition on the associated floodplains occur during the flood stage. In many developed areas, human activity has changed the form of river channels, altering magnitudes and frequencies of flooding. Some examples of this are the building of levees, the straightening of channels, and the draining of natural wetlands. In many cases human activities in rivers and floodplains have dramatically increased the risk of flooding. Straightening rivers allows water to flow more rapidly downstream, increasing the risk of flooding places further downstream. Building on flood plains removes flood storage, which again exacerbates downstream flooding. The building of levees only protects the area behind the levees and not those further downstream. Levees and flood-banks can also increase flooding upstream because of the back-water pressure as the river flow is impeded by the narrow channel banks. Detention basins finally also reduce the risk of flooding significantly by being able to take up some of the flood water.
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Studying the flows of rivers is one aspect of hydrology.[19]
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Rivers flow downhill with their power derived from gravity. The direction can involve all directions of the compass and can be a complex meandering path.[20][21][22]
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Rivers flowing downhill, from river source to river mouth, do not necessarily take the shortest path. For alluvial streams, straight and braided rivers have very low sinuosity and flow directly down hill, while meandering rivers flow from side to side across a valley. Bedrock rivers typically flow in either a fractal pattern, or a pattern that is determined by weaknesses in the bedrock, such as faults, fractures, or more erodible layers.
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Volumetric flow rate, also known as discharge, volume flow rate, and rate of water flow, is the volume of water which passes through a given cross-section of the river channel per unit time. It is typically measured in cubic metres per second (cumec) or cubic feet per second (cfs), where 1 m3/s = 35.51 ft3/s; it is sometimes also measured in litres or gallons per second.
|
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Volumetric flow rate can be thought of as the mean velocity of the flow through a given cross-section, times that cross-sectional area. Mean velocity can be approximated through the use of the Law of the Wall. In general, velocity increases with the depth (or hydraulic radius) and slope of the river channel, while the cross-sectional area scales with the depth and the width: the double-counting of depth shows the importance of this variable in determining the discharge through the channel.
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In its youthful stage the river causes erosion in the water-course, deepening the valley. Hydraulic action loosens and dislodges the rock which further erodes the banks and the river bed. Over time, this deepens the river bed and creates steeper sides which are then weathered.
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The steepened nature of the banks causes the sides of the valley to move downslope causing the valley to become V-shaped.
|
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Waterfalls also form in the youthful river valley where a band of hard rock overlays a layer of soft rock. Differential erosion occurs as the river erodes the soft rock more readily than the hard rock, this leaves the hard rock more elevated and stands out from the river below. A plunge pool forms at the bottom and deepens as a result of hydraulic action and abrasion.[23]
|
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Sediment yield is the total quantity of particulate matter (suspended or bedload) reaching the outlet of a drainage basin over a fixed time frame. Yield is usually expressed as kilograms per square kilometre per year. Sediment delivery processes are affected by a myriad of factors such as drainage area size, basin slope, climate, sediment type (lithology), vegetation cover, and human land use / management practices. The theoretical concept of the 'sediment delivery ratio' (ratio between yield and total amount of sediment eroded) captures the fact that not all of the sediment is eroded within a certain catchment that reaches out to the outlet (due to, for example, deposition on floodplains). Such storage opportunities are typically increased in catchments of larger size, thus leading to a lower yield and sediment delivery ratio.
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Rivers are often managed or controlled to make them more useful or less disruptive to human activity.
|
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River management is a continuous activity as rivers tend to 'undo' the modifications made by people. Dredged channels silt up, sluice mechanisms deteriorate with age, levees and dams may suffer seepage or catastrophic failure. The benefits sought through managing rivers may often be offset by the social and economic costs of mitigating the bad effects of such management. As an example, in parts of the developed world, rivers have been confined within channels to free up flat flood-plain land for development. Floods can inundate such development at high financial cost and often with loss of life.
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Rivers are increasingly managed for habitat conservation, as they are critical for many aquatic and riparian plants, resident and migratory fishes, waterfowl, birds of prey, migrating birds, and many mammals.
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A river is a natural flowing watercourse, usually freshwater, flowing towards an ocean, sea, lake or another river. In some cases a river flows into the ground and becomes dry at the end of its course without reaching another body of water. Small rivers can be referred to using names such as stream, creek, brook, rivulet, and rill. There are no official definitions for the generic term river as applied to geographic features,[1] although in some countries or communities a stream is defined by its size. Many names for small rivers are specific to geographic location; examples are "run" in some parts of the United States, "burn" in Scotland and northeast England, and "beck" in northern England. Sometimes a river is defined as being larger than a creek,[2] but not always: the language is vague.[1]
|
4 |
+
|
5 |
+
Rivers are part of the hydrological cycle. Water generally collects in a river from precipitation through a drainage basin from surface runoff and other sources such as groundwater recharge, springs, and the release of stored water in natural ice and snowpacks (e.g., from glaciers).
|
6 |
+
|
7 |
+
Rivers and streams are often considered major features within a landscape, however, they actually only cover around 0.1% of the land on Earth. They are made more obvious and significant to humans by the fact that many human cities and civilizations are built around the freshwater supplied by rivers and streams.[3] Most of the major cities of the world are situated on the banks of rivers, as they are, or were, used as a source of water, for obtaining food, for transport, as borders, as a defensive measure, as a source of hydropower to drive machinery, for bathing, and as a means of disposing of waste.
|
8 |
+
|
9 |
+
Potamology is the scientific study of rivers, while limnology is the study of inland waters in general.
|
10 |
+
|
11 |
+
A river begins at a source (or more often several sources), follows a path called a course, and ends at a mouth or mouths. The water in a river is usually confined to a channel, made up of a stream bed between banks. In larger rivers there is often also a wider floodplain shaped by flood-waters over-topping the channel. Floodplains may be very wide in relation to the size of the river channel. This distinction between river channel and floodplain can be blurred, especially in urban areas where the floodplain of a river channel can become greatly developed by housing and industry.
|
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+
|
13 |
+
Rivers can flow down mountains, through valleys (depressions) or along plains, and can create canyons or gorges.
|
14 |
+
|
15 |
+
The term upriver (or upstream) refers to the direction towards the source of the river, i.e. against the direction of flow. Likewise, the term downriver (or downstream) describes the direction towards the mouth of the river, in which the current flows.
|
16 |
+
|
17 |
+
The term left bank refers to the left bank in the direction of flow, right bank to the right.
|
18 |
+
|
19 |
+
The river channel typically contains a single stream of water, but some rivers flow as several interconnecting streams of water, producing a braided river.[4] Extensive braided rivers are now found in only a few regions worldwide,[citation needed] such as the South Island of New Zealand. They also occur on peneplains and some of the larger river deltas. Anastamosing rivers are similar to braided rivers and are quite rare. They have multiple sinuous channels carrying large volumes of sediment. There are rare cases of river bifurcation in which a river divides and the resultant flows ending in different seas. An example is the bifurcation of Nerodime River in Kosovo.
|
20 |
+
|
21 |
+
A river flowing in its channel is a source of energy which acts on the river channel to change its shape and form. In 1757, the German hydrologist Albert Brahms empirically observed that the submerged weight of objects that may be carried away by a river is proportional to the sixth power of the river flow speed.[5] This formulation is also sometimes called Airy's law.[6] Thus, if the speed of flow is doubled, the flow would dislodge objects with 64 times as much submerged weight. In mountainous torrential zones this can be seen as erosion channels through hard rocks and the creation of sands and gravels from the destruction of larger rocks. A river valley that was created from a U-shaped glaciated valley, can often easily be identified by the V-shaped channel that it has carved. In the middle reaches where a river flows over flatter land, meanders may form through erosion of the river banks and deposition on the inside of bends. Sometimes the river will cut off a loop, shortening the channel and forming an oxbow lake or billabong. Rivers that carry large amounts of sediment may develop conspicuous deltas at their mouths. Rivers whose mouths are in saline tidal waters may form estuaries.
|
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|
23 |
+
Throughout the course of the river, the total volume of water transported downstream will often be a combination of the free water flow together with a substantial volume flowing through sub-surface rocks and gravels that underlie the river and its floodplain (called the hyporheic zone). For many rivers in large valleys, this unseen component of flow may greatly exceed the visible flow.
|
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+
|
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Most but not all rivers flow on the surface. Subterranean rivers flow underground in caves or caverns. Such rivers are frequently found in regions with limestone geologic formations. Subglacial streams are the braided rivers that flow at the beds of glaciers and ice sheets, permitting meltwater to be discharged at the front of the glacier. Because of the gradient in pressure due to the overlying weight of the glacier, such streams can even flow uphill.
|
26 |
+
|
27 |
+
An intermittent river (or ephemeral river) only flows occasionally and can be dry for several years at a time. These rivers are found in regions with limited or highly variable rainfall, or can occur because of geologic conditions such as a highly permeable river bed. Some ephemeral rivers flow during the summer months but not in the winter. Such rivers are typically fed from chalk aquifers which recharge from winter rainfall. In England these rivers are called bournes and give their name to places such as Bournemouth and Eastbourne. Even in humid regions, the location where flow begins in the smallest tributary streams generally moves upstream in response to precipitation and downstream in its absence or when active summer vegetation diverts water for evapotranspiration. Normally-dry rivers in arid zones are often identified as arroyos or other regional names.
|
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|
29 |
+
The meltwater from large hailstorms can create a slurry of water, hail and sand or soil, forming temporary rivers.[7]
|
30 |
+
|
31 |
+
Rivers have been classified by many criteria including their topography, their biotic status, and their relevance to white water rafting or canoeing activities.
|
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+
|
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+
Rivers can generally be classified as either alluvial, bedrock, or some mix of the two. Alluvial rivers have channels and floodplains that are self-formed in unconsolidated or weakly consolidated sediments. They erode their banks and deposit material on bars and their floodplains. Bedrock rivers form when the river downcuts through the modern sediments and into the underlying bedrock. This occurs in regions that have experienced some kind of uplift (thereby steepening river gradients) or in which a particular hard lithology causes a river to have a steepened reach that has not been covered in modern alluvium. Bedrock rivers very often contain alluvium on their beds; this material is important in eroding and sculpting the channel. Rivers that go through patches of bedrock and patches of deep alluvial cover are classified as mixed bedrock-alluvial.
|
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|
35 |
+
Alluvial rivers can be further classified by their channel pattern as meandering, braided, wandering, anastomose, or straight. The morphology of an alluvial river reach is controlled by a combination of sediment supply, substrate composition, discharge, vegetation, and bed aggradation.
|
36 |
+
|
37 |
+
At the start of the 20th century William Morris Davis devised the "cycle of erosion" method of classifying rivers based on their "age". Although Davis's system is still found in many books today, after the 1950s and 1960s it became increasingly criticized and rejected by geomorphologists. His scheme did not produce testable hypotheses and was therefore deemed non-scientific.[8] Examples of Davis's river "ages" include:
|
38 |
+
|
39 |
+
The ways in which a river's characteristics vary between its upper and lower course are summarized by the Bradshaw model. Power-law relationships between channel slope, depth, and width are given as a function of discharge by "river regime".
|
40 |
+
|
41 |
+
There are several systems of classification based on biotic conditions typically assigning classes from the most oligotrophic or unpolluted through to the most eutrophic or polluted.[9] Other systems are based on a whole eco-system approach such as developed by the New Zealand Ministry for the Environment.[10]
|
42 |
+
In Europe, the requirements of the Water Framework Directive has led to the development of a wide range of classification methods including classifications based on fishery status[11]
|
43 |
+
A system of river zonation used in francophone communities[12][13] divides rivers into three primary zones:
|
44 |
+
|
45 |
+
The International Scale of River Difficulty is used to rate the challenges of navigation—particularly those with rapids. Class I is the easiest and Class VI is the hardest.
|
46 |
+
|
47 |
+
The Strahler Stream Order ranks rivers based on the connectivity and hierarchy of contributing tributaries. Headwaters are first order while the Amazon River is twelfth order. Approximately 80% of the rivers and streams in the world are of the first and second order.
|
48 |
+
|
49 |
+
In certain languages, distinctions are made among rivers based on their stream order. In French, for example, rivers that run to the sea are called fleuve, while other rivers are called rivière. For example, in Canada, the Churchill River in Manitoba is called la rivière Churchill as it runs to Hudson Bay, but the Churchill River in Labrador is called le fleuve Churchill as it runs to the Atlantic Ocean. As most rivers in France are known by their names only without the word rivière or fleuve (e.g. la Seine, not le fleuve Seine, even though the Seine is classed as a fleuve), one of the most prominent rivers in the Francophonie commonly known as fleuve is le fleuve Saint-Laurent (the Saint Lawrence River).
|
50 |
+
|
51 |
+
Since many fleuves are large and prominent, receiving many tributaries, the word is sometimes used to refer to certain large rivers that flow into other fleuves; however, even small streams that run to the sea are called fleuve (e.g. fleuve côtier, "coastal fleuve").
|
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+
|
53 |
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Rivers have been a source of food since pre-history.[14] They are often a rich source of fish and other edible aquatic life, and are a major source of fresh water, which can be used for drinking and irrigation. Rivers help to determine the urban form of cities and neighbourhoods and their corridors often present opportunities for urban renewal through the development of foreshoreways such as river walks. Rivers also provide an easy means of disposing of waste water and, in much of the less developed world, other wastes.
|
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|
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+
Rivers have been used for navigation for thousands of years. The earliest evidence of navigation is found in the Indus Valley Civilization, which existed in northwestern India around 3300 BC.[15] Riverine navigation provides a cheap means of transport, and is still used extensively on most major rivers of the world like the Amazon, the Ganges, the Nile, the Mississippi, and the Indus. Since river boats are often not regulated, they contribute a large amount to global greenhouse gas emissions, and to local cancer due to inhaling of particulates emitted by the transports.[16][17]
|
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|
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Rivers have been important in determining political boundaries and defending countries. For example, the Danube was a long-standing border of the Roman Empire, and today it forms most of the border between Bulgaria and Romania. The Mississippi in North America and the Rhine in Europe are major east-west boundaries in those continents. The Orange and Limpopo Rivers in southern Africa form the boundaries between provinces and countries along their routes.
|
58 |
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|
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In some heavily forested regions such as Scandinavia and Canada, lumberjacks use the river to float felled trees downstream to lumber camps for further processing, saving much effort and cost by transporting the huge heavy logs by natural means.
|
60 |
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|
61 |
+
Fast flowing rivers and waterfalls are widely used as sources of energy, via watermills and hydroelectric plants. Evidence of watermills shows them in use for many hundreds of years, for instance in Orkney at Dounby Click Mill. Prior to the invention of steam power, watermills for grinding cereals and for processing wool and other textiles were common across Europe. In the 1890s the first machines to generate power from river water were established at places such as Cragside in Northumberland and in recent decades there has been a significant increase in the development of large scale power generation from water, especially in wet mountainous regions such as Norway.
|
62 |
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|
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The coarse sediments, gravel, and sand, generated and moved by rivers are extensively used in construction. In parts of the world this can generate extensive new lake habitats as gravel pits re-fill with water. In other circumstances it can destabilise the river bed and the course of the river and cause severe damage to spawning fish populations which rely on stable gravel formations for egg laying. In upland rivers, rapids with whitewater or even waterfalls occur. Rapids are often used for recreation, such as whitewater kayaking.[18]
|
64 |
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|
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+
The organisms in the riparian zone respond to changes in river channel location and patterns of flow. The ecosystem of rivers is generally described by the river continuum concept, which has some additions and refinements to allow for dams and waterfalls and temporary extensive flooding. The concept describes the river as a system in which the physical parameters, the availability of food particles and the composition of the ecosystem are continuously changing along its length. The food (energy) that remains from the upstream part is used downstream.
|
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|
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The general pattern is that the first order streams contain particulate matter (decaying leaves from the surrounding forests) which is processed there by shredders like Plecoptera larvae. The products of these shredders are used by collectors, such as Hydropsychidae, and further downstream algae that create the primary production become the main food source of the organisms. All changes are gradual and the distribution of each species can be described as a normal curve, with the highest density where the conditions are optimal. In rivers succession is virtually absent and the composition of the ecosystem stays fixed in time.
|
68 |
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|
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The chemistry of rivers is complex and depends on inputs from the atmosphere, the geology through which it travels and the inputs from man's activities. The chemical composition of the water has a large impact on the ecology of that water for both plants and animals and it also affects the uses that may be made of the river water. Understanding and characterising river water chemistry requires a well designed and managed sampling and analysis.
|
70 |
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|
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Some rivers generate brackish water by having their river mouth in the ocean.
|
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|
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Flooding is a natural part of a river's cycle. The majority of the erosion of river channels and the erosion and deposition on the associated floodplains occur during the flood stage. In many developed areas, human activity has changed the form of river channels, altering magnitudes and frequencies of flooding. Some examples of this are the building of levees, the straightening of channels, and the draining of natural wetlands. In many cases human activities in rivers and floodplains have dramatically increased the risk of flooding. Straightening rivers allows water to flow more rapidly downstream, increasing the risk of flooding places further downstream. Building on flood plains removes flood storage, which again exacerbates downstream flooding. The building of levees only protects the area behind the levees and not those further downstream. Levees and flood-banks can also increase flooding upstream because of the back-water pressure as the river flow is impeded by the narrow channel banks. Detention basins finally also reduce the risk of flooding significantly by being able to take up some of the flood water.
|
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+
|
75 |
+
Studying the flows of rivers is one aspect of hydrology.[19]
|
76 |
+
|
77 |
+
Rivers flow downhill with their power derived from gravity. The direction can involve all directions of the compass and can be a complex meandering path.[20][21][22]
|
78 |
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|
79 |
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Rivers flowing downhill, from river source to river mouth, do not necessarily take the shortest path. For alluvial streams, straight and braided rivers have very low sinuosity and flow directly down hill, while meandering rivers flow from side to side across a valley. Bedrock rivers typically flow in either a fractal pattern, or a pattern that is determined by weaknesses in the bedrock, such as faults, fractures, or more erodible layers.
|
80 |
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|
81 |
+
Volumetric flow rate, also known as discharge, volume flow rate, and rate of water flow, is the volume of water which passes through a given cross-section of the river channel per unit time. It is typically measured in cubic metres per second (cumec) or cubic feet per second (cfs), where 1 m3/s = 35.51 ft3/s; it is sometimes also measured in litres or gallons per second.
|
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|
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+
Volumetric flow rate can be thought of as the mean velocity of the flow through a given cross-section, times that cross-sectional area. Mean velocity can be approximated through the use of the Law of the Wall. In general, velocity increases with the depth (or hydraulic radius) and slope of the river channel, while the cross-sectional area scales with the depth and the width: the double-counting of depth shows the importance of this variable in determining the discharge through the channel.
|
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|
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+
In its youthful stage the river causes erosion in the water-course, deepening the valley. Hydraulic action loosens and dislodges the rock which further erodes the banks and the river bed. Over time, this deepens the river bed and creates steeper sides which are then weathered.
|
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|
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+
The steepened nature of the banks causes the sides of the valley to move downslope causing the valley to become V-shaped.
|
88 |
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|
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+
Waterfalls also form in the youthful river valley where a band of hard rock overlays a layer of soft rock. Differential erosion occurs as the river erodes the soft rock more readily than the hard rock, this leaves the hard rock more elevated and stands out from the river below. A plunge pool forms at the bottom and deepens as a result of hydraulic action and abrasion.[23]
|
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|
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Sediment yield is the total quantity of particulate matter (suspended or bedload) reaching the outlet of a drainage basin over a fixed time frame. Yield is usually expressed as kilograms per square kilometre per year. Sediment delivery processes are affected by a myriad of factors such as drainage area size, basin slope, climate, sediment type (lithology), vegetation cover, and human land use / management practices. The theoretical concept of the 'sediment delivery ratio' (ratio between yield and total amount of sediment eroded) captures the fact that not all of the sediment is eroded within a certain catchment that reaches out to the outlet (due to, for example, deposition on floodplains). Such storage opportunities are typically increased in catchments of larger size, thus leading to a lower yield and sediment delivery ratio.
|
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|
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Rivers are often managed or controlled to make them more useful or less disruptive to human activity.
|
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|
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River management is a continuous activity as rivers tend to 'undo' the modifications made by people. Dredged channels silt up, sluice mechanisms deteriorate with age, levees and dams may suffer seepage or catastrophic failure. The benefits sought through managing rivers may often be offset by the social and economic costs of mitigating the bad effects of such management. As an example, in parts of the developed world, rivers have been confined within channels to free up flat flood-plain land for development. Floods can inundate such development at high financial cost and often with loss of life.
|
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Rivers are increasingly managed for habitat conservation, as they are critical for many aquatic and riparian plants, resident and migratory fishes, waterfowl, birds of prey, migrating birds, and many mammals.
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1 |
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|
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Rice is the seed of the grass species Oryza glaberrima (African rice) or Oryza sativa (Asian rice). As a cereal grain, it is the most widely consumed staple food for a large part of the world's human population, especially in Asia and Africa. It is the agricultural commodity with the third-highest worldwide production (rice, 741.5 million tonnes in 2014), after sugarcane (1.9 billion tonnes) and maize (1.0 billion tonnes).[1]
|
6 |
+
|
7 |
+
Since sizable portions of sugarcane and maize crops are used for purposes other than human consumption, rice is the most important grain with regard to human nutrition and caloric intake, providing more than one-fifth of the calories consumed worldwide by humans.[2] There are many varieties of rice and culinary preferences tend to vary regionally.
|
8 |
+
|
9 |
+
Rice, a monocot, is normally grown as an annual plant, although in tropical areas it can survive as a perennial and can produce a ratoon crop for up to 30 years.[3] Rice cultivation is well-suited to countries and regions with low labor costs and high rainfall, as it is labor-intensive to cultivate and requires ample water. However, rice can be grown practically anywhere, even on a steep hill or mountain area with the use of water-controlling terrace systems. Although its parent species are native to Asia and certain parts of Africa, centuries of trade and exportation have made it commonplace in many cultures worldwide.
|
10 |
+
|
11 |
+
The traditional method for cultivating rice is flooding the fields while, or after, setting the young seedlings. This simple method requires sound planning and servicing of the water damming and channeling, but reduces the growth of less robust weed and pest plants that have no submerged growth state, and deters vermin. While flooding is not mandatory for the cultivation of rice, all other methods of irrigation require higher effort in weed and pest control during growth periods and a different approach for fertilizing the soil.
|
12 |
+
|
13 |
+
The name wild rice is usually used for species of the genera Zizania and Porteresia, both wild and domesticated, although the term may also be used for primitive or uncultivated varieties of Oryza.
|
14 |
+
|
15 |
+
First used in English in the middle of the 13th century, the word "rice" derives from the Old French ris, which comes from the Italian riso, in turn from the Latin orȳza, which derives from the Greek ὄρυζα (oruza). The Greek word is the source of all European words (compare Welsh reis, German Reis, Lithuanian ryžiai, Serbo-Croatian riža, Polish ryż, Dutch rijst, Hungarian rizs, Romanian orez, Spanish arroz).[4][5][6]
|
16 |
+
|
17 |
+
The origin of the Greek word is unclear. It is sometimes held to be from the Tamil word அரிசி (arisi), or rather Old Tamil 𑀅𑀭𑀺𑀘𑀺 (arici).[7][8] However, Krishnamurti[9] disagrees with the notion that Old Tamil arici is the source of the Greek term, and proposes that it was borrowed from descendants of Proto-Dravidian *wariñci instead. Mayrhofer[10] suggests that the immediate source of the Greek word is to be sought in Old Iranian words of the types *vrīz- or *vrinj-, source of the modern Persian word برنج (berenj), but these are ultimately traced back to Indo-Aryan (as in Sanskrit व्रीहि, vrīhí-).
|
18 |
+
|
19 |
+
The rice plant can grow to 1–1.8 m (3–6 ft) tall, occasionally more depending on the variety and soil fertility. It has long, slender leaves 50–100 cm (20–40 in) long and 2–2.5 cm (0.8–1.0 in) broad. The small wind-pollinated flowers are produced in a branched arching to pendulous inflorescence 30–50 cm (12–20 in) long. The edible seed is a grain (caryopsis) 5–12 mm (0.2–0.5 in) long and 2–3 mm (0.08–0.12 in) thick.
|
20 |
+
|
21 |
+
Origin of rice domestication has been a subject of much debate among those who study crop history and anthropology - whether rice originated in India or China.[11][12] Asian rice, Oryza sativa, is one of oldest crop species. It has tens of thousands of varieties and two major subspecies, japonica and indica. Archeologists focusing on East and Southeast Asia argue that rice farming began in south-central China along the Yangzte River and spread to Korea and Japan from there south and northeast.[13][12] Archaeologists working in India argue that rice cultivation started in the valley of the Ganges River[14] and Indus valley,[15] by peoples unconnected to those of the Yangzte.[16][17][12]
|
22 |
+
|
23 |
+
The varieties of rice are typically classified as long-, medium-, and short-grained.[18] The grains of long-grain rice (high in amylose) tend to remain intact after cooking; medium-grain rice (high in amylopectin) becomes more sticky. Medium-grain rice is used for sweet dishes, for risotto in Italy, and many rice dishes, such as arròs negre, in Spain. Some varieties of long-grain rice that are high in amylopectin, known as Thai Sticky rice, are usually steamed.[19] A stickier medium-grain rice is used for sushi; the stickiness allows rice to hold its shape when molded. Medium-grain rice is used extensively in Japan, including to accompany savoury dishes, where it is usually served plain in a separate dish. Short-grain rice is often used for rice pudding.
|
24 |
+
|
25 |
+
Instant rice differs from parboiled rice in that it is fully cooked and then dried, though there is a significant degradation in taste and texture. Rice flour and starch often are used in batters and breadings to increase crispiness.
|
26 |
+
|
27 |
+
Rice is typically rinsed before cooking to remove excess starch. Rice produced in the US is usually fortified with vitamins and minerals, and rinsing will result in a loss of nutrients. Rice may be rinsed repeatedly until the rinse water is clear to improve the texture and taste.
|
28 |
+
|
29 |
+
Rice may be soaked to decrease cooking time, conserve fuel, minimize exposure to high temperature, and reduce stickiness. For some varieties, soaking improves the texture of the cooked rice by increasing expansion of the grains. Rice may be soaked for 30 minutes up to several hours.
|
30 |
+
|
31 |
+
Brown rice may be soaked in warm water for 20 hours to stimulate germination. This process, called germinated brown rice (GBR),[20] activates enzymes and enhances amino acids including gamma-aminobutyric acid to improve the nutritional value of brown rice. This method is a result of research carried out for the United Nations International Year of Rice.
|
32 |
+
|
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Rice is cooked by boiling or steaming, and absorbs water during cooking. With the absorption method, rice may be cooked in a volume of water equal to the volume of dry rice plus any evaporation losses.[21] With the rapid-boil method, rice may be cooked in a large quantity of water which is drained before serving. Rapid-boil preparation is not desirable with enriched rice, as much of the enrichment additives are lost when the water is discarded. Electric rice cookers, popular in Asia and Latin America, simplify the process of cooking rice. Rice (or any other grain) is sometimes quickly fried in oil or fat before boiling (for example saffron rice or risotto); this makes the cooked rice less sticky, and is a cooking style commonly called pilaf in Iran and Afghanistan or biryani in India and Pakistan .
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In Arab cuisine, rice is an ingredient of many soups and dishes with fish, poultry, and other types of meat. It is used to stuff vegetables or is wrapped in grape leaves (dolma). When combined with milk, sugar, and honey, it is used to make desserts. In some regions, such as Tabaristan, bread is made using rice flour. Rice may be made into congee (also called rice porridge or rice gruel) by adding more water than usual, so that the cooked rice is saturated with water, usually to the point that it disintegrates. Rice porridge is commonly eaten as a breakfast food, and is a traditional food for the sick.
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Rice is the staple food of over half the world's population. It is the predominant dietary energy source for 17 countries in Asia and the Pacific, 9 countries in North and South America and 8 countries in Africa. Rice provides 20% of the world's dietary energy supply, while wheat supplies 19% and maize (corn) 5%.[22]
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Cooked, unenriched, white, long-grained rice is composed of 68% water, 28% carbohydrates, 3% protein, and negligible fat (table). In a 100 gram serving, it provides 130 calories and contains no micronutrients in significant amounts, with all less than 10% of the Daily Value (DV) (table). Cooked, white, short-grained rice also provides 130 calories and contains moderate amounts of B vitamins, iron, and manganese (10–17% DV) per 100 gram amount (table).
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A detailed analysis of nutrient content of rice suggests that the nutrition value of rice varies based on a number of factors. It depends on the strain of rice, such as white, brown, red, and black (or purple) varieties having different prevalence across world regions.[23] It also depends on nutrient quality of the soil rice is grown in, whether and how the rice is polished or processed, the manner it is enriched, and how it is prepared before consumption.[24]
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A 2018 World Health Organization (WHO) guideline showed that fortification of rice to reduce malnutrition may involve different micronutrient strategies, including iron only, iron with zinc, vitamin A, and folic acid, or iron with other B-complex vitamins, such as thiamin, niacin, vitamin B6, and pantothenic acid.[23] A systematic review of clinical research on the efficacy of rice fortification showed the strategy had the main effect of reducing the risk of iron deficiency by 35% and increasing blood levels of hemoglobin.[23] The guideline established a major recommendation: "Fortification of rice with iron is recommended as a public health strategy to improve the iron status of populations, in settings where rice is a staple food."[23]
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Rice grown experimentally under elevated carbon dioxide levels, similar to those predicted for the year 2100 as a result of human activity, had less iron, zinc, and protein, as well as lower levels of thiamin, riboflavin, folic acid, and pantothenic acid.[25]
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A raw yellow dent corn
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B raw unenriched long-grain white rice
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C raw hard red winter wheat
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D raw potato with flesh and skin
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E raw cassava
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F raw green soybeans
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G raw sweet potato
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H raw sorghum
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Y raw yam
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Z raw plantains
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/* unofficial
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As arsenic is a natural element in soil, water, and air, the United States Food and Drug Administration (FDA) monitors the levels of arsenic in foods, particularly in rice products used commonly for infant food.[27] While growing, rice plants tend to absorb arsenic more readily than other food crops, requiring expanded testing by the FDA for possible arsenic-related risks associated with rice consumption in the United States.[27] In April 2016, the FDA proposed a limit of 100 parts per billion (ppb) for inorganic arsenic in infant rice cereal and other foods to minimize exposure of infants to arsenic.[27] For water contamination by arsenic, the United States Environmental Protection Agency has set a lower standard of 10 ppb.[28]
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Arsenic is a Group 1 carcinogen.[27][29] The amount of arsenic in rice varies widely with the greatest concentration in brown rice and rice grown on land formerly used to grow cotton, such as in Arkansas, Louisiana, Missouri, and Texas.[30] White rice grown in Arkansas, Louisiana, Missouri, and Texas, which account collectively for 76 percent of American-produced rice, had higher levels of arsenic than other regions of the world studied, possibly because of past use of arsenic-based pesticides to control cotton weevils.[31] Jasmine rice from Thailand and Basmati rice from Pakistan and India contain the least arsenic among rice varieties in one study.[32] China has set a limit of 150 ppb for arsenic in rice.[33]
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Cooked rice can contain Bacillus cereus spores, which produce an emetic toxin when left at 4–60 °C (39–140 °F). When storing cooked rice for use the next day, rapid cooling is advised to reduce the risk of toxin production.[34] One of the enterotoxins produced by Bacillus cereus is heat-resistant; reheating contaminated rice kills the bacteria, but does not destroy the toxin already present.
|
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Medieval Islamic texts spoke of medical uses for the plant.[35]
|
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Rice can be grown in different environments, depending upon water availability.[36] Generally, rice does not thrive in a waterlogged area, yet it can survive and grow herein[37] and it can survive flooding.[38]
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The current scientific consensus, based on archaeological and linguistic evidence, is that rice was first domesticated in the Yangtze River basin in China.[41][42][43][44] Because the functional allele for nonshattering, the critical indicator of domestication in grains, as well as five other single-nucleotide polymorphisms, is identical in both indica and japonica, Vaughan et al. (2008) determined a single domestication event for O. sativa.[42] This was supported by a genetic study in 2011 that showed that all forms of Asian rice, both indica and japonica, sprang from a single domestication event that occurred 13,500 to 8,200 years ago in China from the wild rice Oryza rufipogon.[45] A more recent population genomic study indicates that japonica was domesticated first, and that indica rice arose when japonica arrived in India about ~4,500 years ago and hybridized with an undomesticated proto-indica or wild O. nivara.[46]
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There are two most likely centers of domestication for rice as well as the development of the wetland agriculture technology. The first, and most likely, is in the lower Yangtze River, believed to be the homelands of the pre-Austronesians and possibly also the Kra-Dai, and associated with the Kauhuqiao, Hemudu, Majiabang, Songze, Liangzhu, and Maqiao cultures. It is characterized by pre-Austronesian features, including stilt houses, jade carving, and boat technologies. Their diet were also supplemented by acorns, water chestnuts, foxnuts, and pig domestication.[44][40][47][48][49]
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The second is in the middle Yangtze River, believed to be the homelands of the early Hmong-Mien-speakers and associated with the Pengtoushan, Nanmuyuan, Liulinxi, Daxi, Qujialing, and Shijiahe cultures. Both of these regions were heavily populated and had regular trade contacts with each other, as well as with early Austroasiatic speakers to the west, and early Kra-Dai speakers to the south, facilitating the spread of rice cultivation throughout southern China.[40][47][49]
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Rice was gradually introduced north into early Sino-Tibetan Yangshao and Dawenkou culture millet farmers, either via contact with the Daxi culture or the Majiabang-Hemudu culture. By around 4000 to 3800 BC, they were a regular secondary crop among southernmost Sino-Tibetan cultures. It did not replace millet, largely because of different environment conditions in northern China, but it was cultivated alongside millet in the southern boundaries of the millet-farming regions. Conversely, millet was also introduced into rice-farming regions.[40][50]
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|
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By the late Neolithic (3500 to 2500 BC), population in the rice cultivating centers had increased rapidly, centered around the Qujialing-Shijiahe culture and the Liangzhu culture. There was also evidence of intensive rice cultivation in paddy fields as well as increasingly sophisticated material cultures in these two regions. The number of settlements among the Yangtze cultures and their sizes increased, leading some archeologists to characterize them as true states, with clearly advanced socio-political structures. However, it is unknown if they had centralized control.[51][52]
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Liangzhu and Shijiahe declined abruptly in the terminal Neolithic (2500 to 2000 BC). With Shijiahe shrinking in size, and Liangzhu disappearing altogether. This is largely believed to be the result of the southward expansion of the early Sino-Tibetan Longshan culture. Fortifications like walls (as well as extensive moats in Liangzhu cities) are common features in settlements during this period, indicating widespread conflict. This period also coincides with the southward movement of rice-farming cultures to the Lingnan and Fujian regions, as well as the southward migrations of the Austronesian, Kra-Dai, and Austroasiatic-speaking peoples to Mainland Southeast Asia and Island Southeast Asia.[51][53][54] A genomic study also indicates that at around this time, a global cooling event (the 4.2 k event) led to tropical japonica rice being pushed southwards, as well as the evolution of temperate japonica rice that could grow in more northern latitudes.[55]
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Genomic studies suggests that indica rice arrives in China from India between 2,000 and 1,400 years ago.[55]
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The spread of japonica rice cultivation to Southeast Asia started with the migrations of the Austronesian Dapenkeng culture into Taiwan between 3500 and 2000 BC (5,500 BP to 4,000 BP). The Nanguanli site in Taiwan, dated to ca. 2800 BC, has yielded numerous carbonized remains of both rice and millet in waterlogged conditions, indicating intensive wetland rice cultivation and dryland millet cultivation.[47] A multidisciplinary study using rice genome sequences indicate that tropical japonica rice was pushed southwards from China after a global cooling event (the 4.2k event) that occurred approximately 4,200 years ago.[55]
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|
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From about 2000 to 1500 BC, the Austronesian expansion began, with settlers from Taiwan moving south to colonize Luzon in the Philippines, bringing rice cultivation technologies with them. From Luzon, Austronesians rapidly colonized the rest of Island Southeast Asia, moving westwards to Borneo, the Malay Peninsula and Sumatra; and southwards to Sulawesi and Java. By 500 BC, there is evidence of intensive wetland rice agriculture already established in Java and Bali, especially near very fertile volcanic islands.[47]
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However, rice (as well as dogs and pigs) did not survive the first Austronesian voyages into Micronesia due to the sheer distance of ocean they were crossing. These voyagers became the ancestors of the Lapita culture. By the time they migrated southwards to the Bismarck Archipelago, they had already lost the technology of rice farming, as well as pigs and dogs. However, knowledge of rice cultivation is still evident in the way they adapted the wetland agriculture techniques to taro cultivation. The Lapita culture in Bismarck reestablished trade connections with other Austronesian branches in Island Southeast Asia. They also came into contact with the non-Austronesian (Papuan) early agriculturists of New Guinea and introduced wetland farming techniques to them. In turn, they assimilated their range of indigenous cultivated fruits and tubers, as well as reacquiring domesticated dogs and pigs, before spreading further eastward to Island Melanesia and Polynesia.[47]
|
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|
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Rice, along with other Southeast Asian food plants, were also later introduced to Madagascar, the Comoros, and the coast of East Africa by around the 1st millennium AD by Austronesian settlers from the Greater Sunda Islands.[56]
|
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|
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Much later Austronesian voyages from Island Southeast Asia succeeded in bringing rice to Guam during the Latte Period (AD 900 to AD 1700). Guam is the only island in Oceania where rice was grown in pre-colonial times.[57][58]
|
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|
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Within Mainland Southeast Asia, rice was presumably spread through river trade between the early Hmong-Mien-speakers of the Middle Yangtze basin and the early Kra-Dai-speakers of the Pearl River and Red River basins, as well as the early Austroasiatic-speakers of the Mekong River basin. Evidence for rice cultivation in these regions, dates to slightly later than the Dapenkeng settlement of Taiwan, at around 3000 BC. Southward migrations of the Austroasiatic and Kra-Dai-speakers introduced it into Mainland Southeast Asia. The earliest evidence of rice cultivation in Mainland Southeast Asia come from the Ban Chiang site in northern Thailand (ca. 2000 to 1500 BC); and the An Sơn site in southern Vietnam (ca. 2000 to 1200 BC).[47][59] A genomic study indicates that rice diversified into island Southeast Asia between 2,500 to 1,500 years ago.[55]
|
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|
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Mainstream archaeological evidence derived from palaeoethnobotanical investigations indicate dry-land rice was introduced to Korea and Japan sometime between 3500 and 1200 BC. The cultivation of rice then occurred on a small scale, fields were impermanent plots, and evidence shows that in some cases domesticated and wild grains were planted together. The technological, subsistence, and social impact of rice and grain cultivation is not evident in archaeological data until after 1500 BC. For example, intensive wet-paddy rice agriculture was introduced into Korea shortly before or during the Middle Mumun pottery period (circa 850–550 BC) and reached Japan by the final Jōmon or initial Yayoi periods circa 300 BC.[60][61] A genomic study indicates that temperate japonica, which predominates in Korea and Japan, evolved after a global cooling event (the 4.2k event) that occurred 4,200 years ago.[55]
|
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|
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+
Rice was cultivated in the Indian subcontinent from as early as 5,000 BC.[62] "Several wild cereals, including rice, grew in the Vindhyan Hills, and rice cultivation, at sites such as Chopani-Mando and Mahagara, may have been underway as early as 7,000 BP. Rice appeared in the Belan and Ganges valley regions of northern India as early as 4530 BC and 5440 BC, respectively.[63] The early domestication process of rice in ancient India was based around the wild species Oryza nivara. This led to the local development of a mix of 'wetland' and 'dryland' agriculture of local Oryza sativa var. indica rice agriculture, before the truly 'wetland' rice Oryza sativa var. japonica, arrived around 2000 BC.[64]
|
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|
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Rice was cultivated in the Indus Valley civilization (3rd millennium BC).[65] Agricultural activity during the second millennium BC included rice cultivation in the Kashmir and Harrappan regions.[63] Mixed farming was the basis of Indus valley economy.[65]
|
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|
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O. sativa was recovered from a grave at Susa in Iran (dated to the first century AD) at one end of the ancient world, while at the same time rice was grown in the Po valley in Italy. In northern Iran, in Gilan province, many indica rice cultivars including 'Gerdeh', 'Hashemi', 'Hasani', and 'Gharib' have been bred by farmers.[66]
|
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|
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A 2012 study, through a map of genome variation in modern wild rice populations, indicated that the domestication of rice probably occurred around the central Pearl River valley region of southern China, in contradiction to archaeological evidence.[67] However, the study is based on modern distribution maps of wild rice populations which are potentially misleading due to drastic climatic changes that happened during the end of the last glacial period, ca. 12,000 years ago. Human activity over thousands of years have also removed populations of wild rice from their previous ranges. Based on Chinese texts, there were populations of wild rice along the Yangtze basin in c. AD 1,000 that are now recently extinct.[50]
|
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|
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An older theory, based on one chloroplast and two nuclear gene regions, Londo et al. (2006) had proposed that O. sativa rice was domesticated at least twice—indica in eastern India, Myanmar, and Thailand; and japonica in southern China and Vietnam—though they concede that archaeological and genetic evidence exist for a single domestication of rice in the lowlands of southern China.[68]
|
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|
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In 2003, Korean archaeologists alleged they discovered burnt grains of domesticated rice in Soro-ri, Korea, which dated to 13,000 BC. These antedate the oldest grains in China, which were dated to 10,000 BC, and potentially challenge the mainstream explanation that domesticated rice originated in China.[69] The findings were received by academia with strong skepticism at first,[70][71] but later accepted in secondary sources such as the archaeology text book Archaeology: Theories, Methods and Practice.[72]
|
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|
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African rice has been cultivated for 3,500 years. Between 1500 and 800 BC, Oryza glaberrima propagated from its original centre, the Niger River delta, and extended to Senegal. However, it never developed far from its original region. Its cultivation even declined in favour of the Asian species, which was introduced to East Africa early in the common era and spread westward.[73]
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Today, the majority of all rice produced comes from China, India, Indonesia, Bangladesh, Vietnam, Thailand, Myanmar, Pakistan, Philippines, Korea and Japan. Asian farmers still account for 87% of the world's total rice production. Because so much rice is produced in Bangladesh, it is also the staple food of the country.
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Rice is a staple food for all classes in contemporary Indonesia,[74][75] and it holds the central place in Indonesian culture and Indonesian cuisine: it shapes the landscape; is sold at markets; and is served in most meals. Rice accounting for more than half of the calories in the average diet, and the source of livelihood for about 20 million households. The importance of rice in Indonesian culture is demonstrated through the reverence of Dewi Sri, the rice goddess of ancient Java and Bali.
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Evidence of wild rice on the island of Sulawesi dates from 3000 BC. Historic written evidence for the earliest cultivation, however, comes from eighth century stone inscriptions from the central island of Java, which show kings levied taxes in rice. The images of rice cultivation, rice barn, and mouse pest investing a rice field is evident in Karmawibhangga bas-reliefs of Borobudur. Divisions of labour between men, women, and animals that are still in place in Indonesian rice cultivation, were carved into relief friezes on the ninth century Prambanan temples in Central Java: a water buffalo attached to a plough; women planting seedlings and pounding grain; and a man carrying sheaves of rice on each end of a pole across his shoulders (pikulan). In the sixteenth century, Europeans visiting the Indonesian islands saw rice as a new prestige food served to the aristocracy during ceremonies and feasts.[75]
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Rice is the major food amongst all the ethnic groups in Nepal. In the Terai, most rice varieties are cultivated during the rainy season. The principal rice growing season, known as "Berna-Bue Charne", is from June to July when water is sufficient for only a part of the fields; the subsidiary season, known as "Ropai, is from April to September, when there is usually enough water to sustain the cultivation of all rice fields. Farmers use irrigation channels throughout the cultivation seasons.[citation needed]
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The Banaue Rice Terraces (Filipino: Hagdan-hagdang Palayan ng Banawe) are 2,000-year-old terraces that were carved into the mountains of Ifugao in the Philippines by the ancestors of the Igorot people. The Rice Terraces are commonly referred to as the "Eighth Wonder of the World".[76][77][78] It is commonly thought that the terraces were built with minimal equipment, largely by hand. The terraces are located approximately 1,500 meters (5,000 ft) above sea level. They are fed by an ancient irrigation system from the rainforests above the terraces. It is said that if the steps were put end to end, it would encircle half the globe.[79] The terraces are found in the province of Ifugao and the Ifugao people have been its caretakers. Ifugao culture revolves[80] around rice and the culture displays an elaborate array of celebrations linked with agricultural rites from rice cultivation to rice consumption. The harvest season generally calls for thanksgiving feasts, while the concluding harvest rites called tango or tungul (a day of rest) entails a strict taboo on any agricultural work. Partaking of the bayah (rice beer), rice cakes, and betel nut constitutes an indelible practise during the festivities.
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The Ifugao people practice traditional farming spending most of their labor at their terraces and forest lands while occasionally tending to root crop cultivation. The Ifugaos have also[79] been known to culture edible shells, fruit trees, and other vegetables which have been exhibited among Ifugaos for generations. The building of the rice terraces consists of blanketing walls with stones and earth which are designed to draw water from a main irrigation canal above the terrace clusters. Indigenous rice terracing technologies have been identified with the Ifugao's rice terraces such as their knowledge of water irrigation, stonework, earthwork and terrace maintenance. As their source of life and art, the rice terraces have sustained and shaped the lives of the community members.
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Rice is the staple food amongst all the ethnic groups in Sri Lanka. Agriculture in Sri Lanka mainly depends on the rice cultivation. Rice production is acutely dependent on rainfall and government supply necessity of water through irrigation channels throughout the cultivation seasons. The principal cultivation season, known as "Maha", is from October to March and the subsidiary cultivation season, known as "Yala", is from April to September. During Maha season, there is usually enough water to sustain the cultivation of all rice fields, nevertheless in Yala season there is only enough water for cultivation of half of the land extent. Traditional rice varieties are now making a comeback with the recent interest in green foods.
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Rice is the main export of Thailand, especially white jasmine rice 105 (Dok Mali 105).[81] Thailand has a large number of rice varieties, 3,500 kinds with different characters, and five kinds of wild rice cultivates.[82] In each region of the country there are different rice seed types. Their use depends on weather, atmosphere, and topography.[83]
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The northern region has both low lands and high lands. The farmers' usual crop is non-glutinous rice[83] such as Niew Sun Pah Tong rice. This rice is naturally protected from leaf disease, and its paddy (unmilled rice) (Thai: ข้าวเปลือก) has a brown color.[84] The northeastern region is a large area where farmers can cultivate about 36 million square meters of rice. Although most of it is plains and dry areas,[85] white jasmine rice 105—the most famous Thai rice—can be grown there. White jasmine rice was developed in Chonburi Province first and after that grown in many areas in the country, but the rice from this region has a high quality, because it is softer, whiter, and more fragrant.[86] This rice can resist drought, acidic soil, and alkaline soil.[87]
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The central region is mostly composed of plains. Most farmers grow Jao rice.[85] For example, Pathum Thani 1 rice which has qualities similar to white jasmine 105 rice. Its paddy has the color of thatch and the cooked rice has fragrant grains also.[88]
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In the southern region, most farmers transplant around boundaries to the flood plains or on the plains between mountains. Farming in the region is slower than other regions because the rainy season comes later.[85] The popular rice varieties in this area are the Leb Nok Pattani seeds, a type of Jao rice. Its paddy has the color of thatch and it can be processed to make noodles.[89]
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One of the earliest known examples of companion planting is the growing of rice with Azolla, the mosquito fern, which covers the top of a fresh rice paddy's water, blocking out any competing plants, as well as fixing nitrogen from the atmosphere for the rice to use. The rice is planted when it is tall enough to poke out above the azolla. This method has been used for at least a thousand years.
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Rice was grown in some areas of Mesopotamia (southern Iraq). With the rise of Islam it moved north to Nisibin, the southern shores of the Caspian Sea (in Gilan and Mazanderan provinces of Iran)[66] and then beyond the Muslim world into the valley of the Volga. In Egypt, rice is mainly grown in the Nile Delta. In Palestine, rice came to be grown in the Jordan Valley. Rice is also grown in Saudi Arabia at Al-Ahsa Oasis and in Yemen.[90]
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Rice was known to the Classical world, being imported from Egypt, and perhaps west Asia. It was known to Greece (where it is still cultivated in Macedonia and Thrace) by returning soldiers from Alexander the Great's military expedition to Asia. Large deposits of rice from the first century AD have been found in Roman camps in Germany.[91]
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The Moors brought Asiatic rice to the Iberian Peninsula in the 10th century. Records indicate it was grown in Valencia and Majorca. In Majorca, rice cultivation seems to have stopped after the Christian conquest, although historians are not certain.[90]
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Muslims also brought rice to Sicily with cultivation starting in the 9th century,[92] where it was an important crop[90] long before it is noted in the plain of Pisa (1468) or in the Lombard plain (1475), where its cultivation was promoted by Ludovico Sforza, Duke of Milan, and demonstrated in his model farms.[93]
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After the 15th century, rice spread throughout Italy and then France, later propagating to all the continents during the age of European exploration.
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In European Russia, a short-grain, starchy rice similar to the Italian varieties, has been grown in the Krasnodar Krai, and known in Russia as "Kuban Rice" or "Krasnodar Rice". In the Russian Far East several japonica cultivars are grown in Primorye around the Khanka lake. Increasing scale of rice production in the region has recently brought criticism towards growers' alleged bad practices in regards to the environment.
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Most of the rice used today in the cuisine of the Americas is not native, but was introduced to Latin America and the Caribbean by European colonizers at an early date. However, there are at least two native (endemic) species of rice present in the Amazon region of South America, and one or both were used by the indigenous inhabitants of the region to create the domesticated form Oryza sp., some 4000 years ago.[94]
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Spanish colonizers introduced Asian rice to Mexico in the 1520s at Veracruz, and the Portuguese and their African slaves introduced it at about the same time to colonial Brazil.[95] Recent scholarship suggests that enslaved Africans played an active role in the establishment of rice in the New World and that African rice was an important crop from an early period.[96] Varieties of rice and bean dishes that were a staple dish along the peoples of West Africa remained a staple among their descendants subjected to slavery in the Spanish New World colonies, Brazil and elsewhere in the Americas.[97]
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In 1694, rice arrived in South Carolina, probably originating from Madagascar.[95] Tradition (possibly apocryphal) has it that pirate John Thurber was returning from a slave-trading voyage to Madagascar when he was blown off course and put into Charleston for repairs. While there he gave a bag of seed rice to explorer Dr. Henry Woodward, who planted the rice and experimented with it until finding that it grew exceptionally well in the wet Carolina soil.[98][99]
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The mastery of rice farming was a challenge for the English and other white settlers who were unfamiliar with the crop. Indians, who mostly gathering wild rice, were also inexperienced with rice cultivation. However, within the first fifty years of settlement rice became the dominant crop in South Carolina.[100]
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In the United States, colonial South Carolina and Georgia grew and amassed great wealth from the slave labor obtained from the Senegambia area of West Africa and from coastal Sierra Leone. At the port of Charleston, through which 40% of all American slave imports passed, slaves from this region of Africa brought the highest prices due to their prior knowledge of rice culture, which was put to use on the many rice plantations around Georgetown, Charleston, and Savannah.
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From the enslaved Africans, plantation owners learned how to dyke the marshes and periodically flood the fields. At first the rice was laboriously milled by hand using large mortars and pestles made of wood, then winnowed in sweetgrass baskets (the making of which was another skill brought by slaves from Africa). The invention of the rice mill increased profitability of the crop, and the addition of water power for the mills in 1787 by millwright Jonathan Lucas was another step forward.
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Rice culture in the southeastern U.S. became less profitable with the loss of slave labor after the American Civil War, and it finally died out just after the turn of the 20th century. Today, people can visit the only remaining rice plantation in South Carolina that still has the original winnowing barn and rice mill from the mid-19th century at the historic Mansfield Plantation in Georgetown, South Carolina. The predominant strain of rice in the Carolinas was from Africa and was known as 'Carolina Gold'. The cultivar has been preserved and there are current attempts to reintroduce it as a commercially grown crop.[101]
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In the southern United States, rice has been grown in southern Arkansas, Louisiana, and east Texas since the mid-19th century. Many Cajun farmers grew rice in wet marshes and low-lying prairies where they could also farm crayfish when the fields were flooded.[102] In recent years rice production has risen in North America, especially in the Mississippi embayment in the states of Arkansas and Mississippi (see also Arkansas Delta and Mississippi Delta).
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Rice cultivation began in California during the California Gold Rush, when an estimated 40,000 Chinese laborers immigrated to the state and grew small amounts of the grain for their own consumption. However, commercial production began only in 1912 in the town of Richvale in Butte County.[103] By 2006, California produced the second-largest rice crop in the United States,[104] after Arkansas, with production concentrated in six counties north of Sacramento.[105] Unlike the Arkansas–Mississippi Delta region, California's production is dominated by short- and medium-grain japonica varieties, including cultivars developed for the local climate such as Calrose, which makes up as much as 85% of the state's crop.[106]
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References to "wild rice" native to North America are to the unrelated Zizania palustris.[107]
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More than 100 varieties of rice are commercially produced primarily in six states (Arkansas, Texas, Louisiana, Mississippi, Missouri, and California) in the U.S.[108] According to estimates for the 2006 crop year, rice production in the U.S. is valued at $1.88 billion, approximately half of which is expected to be exported. The U.S. provides about 12% of world rice trade.[108] The majority of domestic utilization of U.S. rice is direct food use (58%), while 16% is used in each of processed foods and beer. 10% is found in pet food.[108]
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Rice was one of the earliest crops planted in Australia by British settlers, who had experience with rice plantations in the Americas and India.
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Although attempts to grow rice in the well-watered north of Australia have been made for many years, they have consistently failed because of inherent iron and manganese toxicities in the soils and destruction by pests.
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In the 1920s, it was seen as a possible irrigation crop on soils within the Murray–Darling basin that were too heavy for the cultivation of fruit and too infertile for wheat.[109]
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Because irrigation water, despite the extremely low runoff of temperate Australia,[110] was (and remains) very cheap, the growing of rice was taken up by agricultural groups over the following decades. Californian varieties of rice were found suitable for the climate in the Riverina,[109] and the first mill opened at Leeton in 1951.
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Even before this Australia's rice production greatly exceeded local needs,[109] and rice exports to Japan have become a major source of foreign currency. Above-average rainfall from the 1950s to the middle 1990s[111] encouraged the expansion of the Riverina rice industry, but its prodigious water use in a practically waterless region began to attract the attention of environmental scientists. These became severely concerned with declining flow in the Snowy River and the lower Murray River.
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Although rice growing in Australia is highly profitable due to the cheapness of land, several recent years of severe drought have led many to call for its elimination because of its effects on extremely fragile aquatic ecosystems. The Australian rice industry is somewhat opportunistic, with the area planted varying significantly from season to season depending on water allocations in the Murray and Murrumbidgee irrigation regions.
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Australian Aboriginal people have harvested native rice varieties for thousands of years, and there are ongoing efforts to grow commercial quantities of these species.[112][113]
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In 2017, world production of paddy rice was 769.7 million tonnes,[114] led by China and India with a combined 49% of this total.[1] Other major producers were Indonesia, Bangladesh and Vietnam. The five major producers accounted for 72% of total production, while the top fifteen producers accounted for 91% of total world production in 2017 (see table on right). Developing countries account for 95% of the total production.[115]
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Rice is a major food staple and a mainstay for the rural population and their food security. It is mainly cultivated by small farmers in holdings of less than one hectare. Rice is also a wage commodity for workers in the cash crop or non-agricultural sectors. Rice is vital for the nutrition of much of the population in Asia, as well as in Latin America and the Caribbean and in Africa; it is central to the food security of over half the world population.
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Many rice grain producing countries have significant losses post-harvest at the farm and because of poor roads, inadequate storage technologies, inefficient supply chains and farmer's inability to bring the produce into retail markets dominated by small shopkeepers. A World Bank – FAO study claims 8% to 26% of rice is lost in developing nations, on average, every year, because of post-harvest problems and poor infrastructure. Some sources claim the post-harvest losses exceed 40%.[115][116] Not only do these losses reduce food security in the world, the study claims that farmers in developing countries such as China, India and others lose approximately US$89 billion of income in preventable post-harvest farm losses, poor transport, the lack of proper storage and retail. One study claims that if these post-harvest grain losses could be eliminated with better infrastructure and retail network, in India alone enough food would be saved every year to feed 70 to 100 million people.[117]
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The seeds of the rice plant are first milled using a rice huller to remove the chaff (the outer husks of the grain) (see: rice hulls). At this point in the process, the product is called brown rice. The milling may be continued, removing the bran, i.e., the rest of the husk and the germ, thereby creating white rice. White rice, which keeps longer, lacks some important nutrients; moreover, in a limited diet which does not supplement the rice, brown rice helps to prevent the disease beriberi.
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Either by hand or in a rice polisher, white rice may be buffed with glucose or talc powder (often called polished rice, though this term may also refer to white rice in general), parboiled, or processed into flour. White rice may also be enriched by adding nutrients, especially those lost during the milling process. While the cheapest method of enriching involves adding a powdered blend of nutrients that will easily wash off (in the United States, rice which has been so treated requires a label warning against rinsing), more sophisticated methods apply nutrients directly to the grain, coating the grain with a water-insoluble substance which is resistant to washing.
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In some countries, a popular form, parboiled rice (also known as converted rice and easy-cook rice[118]) is subjected to a steaming or parboiling process while still a brown rice grain. The parboil process causes a gelatinisation of the starch in the grains. The grains become less brittle, and the color of the milled grain changes from white to yellow. The rice is then dried, and can then be milled as usual or used as brown rice. Milled parboiled rice is nutritionally superior to standard milled rice, because the process causes nutrients from the outer husk (especially thiamine) to move into the endosperm, so that less is subsequently lost when the husk is polished off during milling. Parboiled rice has an additional benefit in that it does not stick to the pan during cooking, as happens when cooking regular white rice. This type of rice is eaten in parts of India and countries of West Africa are also accustomed to consuming parboiled rice.
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Rice bran, called nuka in Japan, is a valuable commodity in Asia and is used for many daily needs. It is a moist, oily inner layer which is heated to produce oil. It is also used as a pickling bed in making rice bran pickles and takuan.
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Raw rice may be ground into flour for many uses, including making many kinds of beverages, such as amazake, horchata, rice milk, and rice wine. Rice does not contain gluten, so is suitable for people on a gluten-free diet.[119] Rice may also be made into various types of noodles. Raw, wild, or brown rice may also be consumed by raw-foodist or fruitarians if soaked and sprouted (usually a week to 30 days – gaba rice).
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Processed rice seeds must be boiled or steamed before eating. Boiled rice may be further fried in cooking oil or butter (known as fried rice), or beaten in a tub to make mochi.
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Rice is a good source of protein and a staple food in many parts of the world, but it is not a complete protein: it does not contain all of the essential amino acids in sufficient amounts for good health, and should be combined with other sources of protein, such as nuts, seeds, beans, fish, or meat.[120]
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Rice, like other cereal grains, can be puffed (or popped). This process takes advantage of the grains' water content and typically involves heating grains in a special chamber. Further puffing is sometimes accomplished by processing puffed pellets in a low-pressure chamber. The ideal gas law means either lowering the local pressure or raising the water temperature results in an increase in volume prior to water evaporation, resulting in a puffy texture. Bulk raw rice density is about 0.9 g/cm³. It decreases to less than one-tenth that when puffed.
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Unmilled rice, known as "paddy" (Indonesia and Malaysia: padi; Philippines, palay), is usually harvested when the grains have a moisture content of around 25%. In most Asian countries, where rice is almost entirely the product of smallholder agriculture, harvesting is carried out manually, although there is a growing interest in mechanical harvesting. Harvesting can be carried out by the farmers themselves, but is also frequently done by seasonal labor groups. Harvesting is followed by threshing, either immediately or within a day or two. Again, much threshing is still carried out by hand but there is an increasing use of mechanical threshers. Subsequently, paddy needs to be dried to bring down the moisture content to no more than 20% for milling.
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A familiar sight in several Asian countries is paddy laid out to dry along roads. However, in most countries the bulk of drying of marketed paddy takes place in mills, with village-level drying being used for paddy to be consumed by farm families. Mills either sun dry or use mechanical driers or both. Drying has to be carried out quickly to avoid the formation of molds. Mills range from simple hullers, with a throughput of a couple of tonnes a day, that simply remove the outer husk, to enormous operations that can process 4,000 tonnes a day and produce highly polished rice. A good mill can achieve a paddy-to-rice conversion rate of up to 72% but smaller, inefficient mills often struggle to achieve 60%. These smaller mills often do not buy paddy and sell rice but only service farmers who want to mill their paddy for their own consumption.
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Because of the importance of rice to human nutrition and food security in Asia, the domestic rice markets tend to be subject to considerable state involvement. While the private sector plays a leading role in most countries, agencies such as BULOG in Indonesia, the NFA in the Philippines, VINAFOOD in Vietnam and the Food Corporation of India are all heavily involved in purchasing of paddy from farmers or rice from mills and in distributing rice to poorer people. BULOG and NFA monopolise rice imports into their countries while VINAFOOD controls all exports from Vietnam.[121]
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World trade figures are very different from those for production, as less than 8% of rice produced is traded internationally.[122] In economic terms, the global rice trade was a small fraction of 1% of world mercantile trade. Many countries consider rice as a strategic food staple, and various governments subject its trade to a wide range of controls and interventions.
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Developing countries are the main players in the world rice trade, accounting for 83% of exports and 85% of imports. While there are numerous importers of rice, the exporters of rice are limited. Just five countries—Thailand, Vietnam, China, the United States and India—in decreasing order of exported quantities, accounted for about three-quarters of world rice exports in 2002.[115] However, this ranking has been rapidly changing in recent years. In 2010, the three largest exporters of rice, in decreasing order of quantity exported were Thailand, Vietnam and India. By 2012, India became the largest exporter of rice with a 100% increase in its exports on year-to-year basis, and Thailand slipped to third position.[123][124] Together, Thailand, Vietnam and India accounted for nearly 70% of the world rice exports.
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The primary variety exported by Thailand and Vietnam were Jasmine rice, while exports from India included aromatic Basmati variety. China, an exporter of rice in early 2000s, was a net importer of rice in 2010 and will become the largest net importer, surpassing Nigeria, in 2013.[122][125] According to a USDA report, the world's largest exporters of rice in 2012 were India (9.75 million tonnes), Vietnam (7 million tonnes), Thailand (6.5 million tonnes), Pakistan (3.75 million tonnes) and the United States (3.5 million tonnes).[126]
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Major importers usually include Nigeria, Indonesia, Bangladesh, Saudi Arabia, Iran, Iraq, Malaysia, the Philippines, Brazil and some African and Persian Gulf countries. In common with other West African countries, Nigeria is actively promoting domestic production. However, its very heavy import duties (110%) open it to smuggling from neighboring countries.[127] Parboiled rice is particularly popular in Nigeria. Although China and India are the two largest producers of rice in the world, both countries consume the majority of the rice produced domestically, leaving little to be traded internationally.
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The average world yield for rice was 4.3 tonnes per hectare, in 2010.
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Australian rice farms were the most productive in 2010, with a nationwide average of 10.8 tonnes per hectare.[128]
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Yuan Longping of China National Hybrid Rice Research and Development Center, China, set a world record for rice yield in 2010 at 19 tonnes per hectare on a demonstration plot. In 2011, this record was surpassed by an Indian farmer, Sumant Kumar, with 22.4 tonnes per hectare in Bihar. Both these farmers claim to have employed newly developed rice breeds and System of Rice Intensification (SRI), a recent innovation in rice farming. SRI is claimed to have set new national records in rice yields, within the last 10 years, in many countries. The claimed Chinese and Indian yields have yet to be demonstrated on seven-hectare lots and to be reproducible over two consecutive years on the same farm.[129][130][131][132]
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In late 2007 to May 2008, the price of grains rose greatly due to droughts in major producing countries (particularly Australia), increased use of grains for animal feed and US subsidies for bio-fuel production. Although there was no shortage of rice on world markets this general upward trend in grain prices led to panic buying by consumers, government rice export bans (in particular, by Vietnam and India) and inflated import orders by the Philippines marketing board, the National Food Authority. This caused significant rises in rice prices. In late April 2008, prices hit 24 US cents a pound, twice the price of seven months earlier.[133] Over the period of 2007 to 2013, the Chinese government has substantially increased the price it pays domestic farmers for their rice, rising to US$500 per metric ton by 2013.[122] The 2013 price of rice originating from other southeast Asian countries was a comparably low US$350 per metric ton.[122]
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On April 30, 2008, Thailand announced plans for the creation of the Organisation of Rice Exporting Countries (OREC) with the intention that this should develop into a price-fixing cartel for rice.[134][135] However, as of mid-2011[update] little progress had been made to achieve this.
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As of 2013[update], world food consumption of rice was 565.6 million metric tons of paddy equivalent (377,283 of milled equivalent), while the largest consumers were China consuming 162.4 million metric tons of paddy equivalent (28.7% of world consumption) and India consuming 130.4 million metric tons of paddy equivalent (23.1% of world consumption).[136]
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Between 1961 and 2002, per capita consumption of rice increased by 40%.
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Rice is the most important crop in Asia. In Cambodia, for example, 90% of the total agricultural area is used for rice production.[137]
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U.S. rice consumption has risen sharply over the past 25 years, fueled in part by commercial applications such as beer production.[138] Almost one in five adult Americans now report eating at least half a serving of white or brown rice per day.[139]
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Rice cultivation on wetland rice fields is thought to be responsible for 11% of the anthropogenic methane emissions.[140] Rice requires slightly more water to produce than other grains.[141] Rice production uses almost a third of Earth's fresh water.[142]
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Long-term flooding of rice fields cuts the soil off from atmospheric oxygen and causes anaerobic fermentation of organic matter in the soil.[143] Methane production from rice cultivation contributes ~1.5% of anthropogenic greenhouse gases.[144] Methane is twenty times more potent a greenhouse gas than carbon dioxide.[145]
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A 2010 study found that, as a result of rising temperatures and decreasing solar radiation during the later years of the 20th century, the rice yield growth rate has decreased in many parts of Asia, compared to what would have been observed had the temperature and solar radiation trends not occurred.[146][147] The yield growth rate had fallen 10–20% at some locations. The study was based on records from 227 farms in Thailand, Vietnam, Nepal, India, China, Bangladesh, and Pakistan. The mechanism of this falling yield was not clear, but might involve increased respiration during warm nights, which expends energy without being able to photosynthesize.
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Rice requires high temperature above 20 °C (68 °F) but not more than 35 to 40 °C (95 to 104 °F). Optimum temperature is around 30 °C (Tmax) and 20 °C (Tmin).[148]
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The amount of solar radiation received during the 45 days leading up to harvest determines final crop output.[148]
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High water vapor content (in humid tropics) subjects unusual stress which favors the spread of fungal and bacterial diseases.[148]
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Light wind transports CO2 to the leaf canopy but strong wind causes severe damage and may lead to sterility (due to pollen dehydration, spikelet sterility, and abortive endosperms).[148]
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Rice pests are any organisms or microbes with the potential to reduce the yield or value of the rice crop (or of rice seeds).[149] Rice pests include weeds, pathogens, insects, nematode, rodents, and birds. A variety of factors can contribute to pest outbreaks, including climatic factors, improper irrigation, the overuse of insecticides and high rates of nitrogen fertilizer application.[150] Weather conditions also contribute to pest outbreaks. For example, rice gall midge and army worm outbreaks tend to follow periods of high rainfall early in the wet season, while thrips outbreaks are associated with drought.[151]
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Major rice insect pests include: the brown planthopper (BPH),[152] several spp. of stemborers—including those in the genera Scirpophaga and Chilo,[153] the rice gall midge,[154] several spp. of rice bugs[disambiguation needed],[155] notably in the genus Leptocorisa,[156] defoliators such as the rice: leafroller, hispa and grasshoppers.[157] The fall army worm, a species of Lepidoptera, also targets and causes damage to rice crops.[158] Rice weevils attack stored produce.
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Rice blast, caused by the fungus Magnaporthe grisea,[159] is the most significant disease affecting rice cultivation. Other major rice diseases include: sheath blight (caused by Rhizoctonia solani), rice ragged stunt (vector: BPH), and tungro (vector: Nephotettix spp).[160] There is also an ascomycete fungus, Cochliobolus miyabeanus, that causes brown spot disease in rice.[161][162]
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Several nematode species infect rice crops, causing diseases such as Ufra (Ditylenchus dipsaci), White tip disease (Aphelenchoide bessei), and root knot disease (Meloidogyne graminicola). Some nematode species such as Pratylenchus spp. are most dangerous in upland rice of all parts of the world. Rice root nematode (Hirschmanniella oryzae) is a migratory endoparasite which on higher inoculum levels will lead to complete destruction of a rice crop. Beyond being obligate parasites, they also decrease the vigor of plants and increase the plants' susceptibility to other pests and diseases.
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These include the apple snail Pomacea canaliculata, panicle rice mite, rats,[163] and the weed Echinochloa crusgali.[164]
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Crop protection scientists are trying to develop rice pest management techniques which are sustainable. In other words, to manage crop pests in such a manner that future crop production is not threatened.[165] Sustainable pest management is based on four principles: biodiversity, host plant resistance (HPR), landscape ecology, and hierarchies in a landscape—from biological to social.[166] At present, rice pest management includes cultural techniques, pest-resistant rice varieties, and pesticides (which include insecticide). Increasingly, there is evidence that farmers' pesticide applications are often unnecessary, and even facilitate pest outbreaks.[167][168][169][170] By reducing the populations of natural enemies of rice pests,[171] misuse of insecticides can actually lead to pest outbreaks.[172] The International Rice Research Institute (IRRI) demonstrated in 1993 that an 87.5% reduction in pesticide use can lead to an overall drop in pest numbers.[173] IRRI also conducted two campaigns in 1994 and 2003, respectively, which discouraged insecticide misuse and smarter pest management in Vietnam.[174][175]
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Rice plants produce their own chemical defenses to protect themselves from pest attacks. Some synthetic chemicals, such as the herbicide 2,4-D, cause the plant to increase the production of certain defensive chemicals and thereby increase the plant's resistance to some types of pests.[176] Conversely, other chemicals, such as the insecticide imidacloprid, can induce changes in the gene expression of the rice that cause the plant to become more susceptible to attacks by certain types of pests.[177] 5-Alkylresorcinols are chemicals that can also be found in rice.[178]
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Botanicals, so-called "natural pesticides", are used by some farmers in an attempt to control rice pests. Botanicals include extracts of leaves, or a mulch of the leaves themselves. Some upland rice farmers in Cambodia spread chopped leaves of the bitter bush (Chromolaena odorata) over the surface of fields after planting. This practice probably helps the soil retain moisture and thereby facilitates seed germination. Farmers also claim the leaves are a natural fertilizer and helps suppress weed and insect infestations.[179]
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Among rice cultivars, there are differences in the responses to, and recovery from, pest damage.[155][180] Many rice varieties have been selected for resistance to insect pests.[181][182] Therefore, particular cultivars are recommended for areas prone to certain pest problems. The genetically based ability of a rice variety to withstand pest attacks is called resistance. Three main types of plant resistance to pests are recognized as nonpreference, antibiosis, and tolerance.[183] Nonpreference (or antixenosis) describes host plants which insects prefer to avoid; antibiosis is where insect survival is reduced after the ingestion of host tissue; and tolerance is the capacity of a plant to produce high yield or retain high quality despite insect infestation.[184]
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Over time, the use of pest-resistant rice varieties selects for pests that are able to overcome these mechanisms of resistance. When a rice variety is no longer able to resist pest infestations, resistance is said to have broken down. Rice varieties that can be widely grown for many years in the presence of pests and retain their ability to withstand the pests are said to have durable resistance. Mutants of popular rice varieties are regularly screened by plant breeders to discover new sources of durable resistance.[183][185]
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Rice is parasitized by the weed eudicot Striga hermonthica,[186] which is of local importance for this crop.
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While most rice is bred for crop quality and productivity, there are varieties selected for characteristics such as texture, smell, and firmness. There are four major categories of rice worldwide: indica, japonica, aromatic and glutinous. The different varieties of rice are not considered interchangeable, either in food preparation or agriculture, so as a result, each major variety is a completely separate market from other varieties. It is common for one variety of rice to rise in price while another one drops in price.[187]
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Rice cultivars also fall into groups according to environmental conditions, season of planting, and season of harvest, called ecotypes. Some major groups are the Japan-type (grown in Japan), "buly" and "tjereh" types (Indonesia); sali (or aman—main winter crop), ahu (also aush or ghariya, summer), and boro (spring) (Bengal and Assam).[188][189] Cultivars exist that are adapted to deep flooding, and these are generally called "floating rice".[190]
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The largest collection of rice cultivars is at the International Rice Research Institute[191] in the Philippines, with over 100,000 rice accessions[192] held in the International Rice Genebank.[193] Rice cultivars are often classified by their grain shapes and texture. For example, Thai Jasmine rice is long-grain and relatively less sticky, as some long-grain rice contains less amylopectin than short-grain cultivars. Chinese restaurants often serve long-grain as plain unseasoned steamed rice though short-grain rice is common as well. Japanese mochi rice and Chinese sticky rice are short-grain. Chinese people use sticky rice which is properly known as "glutinous rice" (note: glutinous refer to the glue-like characteristic of rice; does not refer to "gluten") to make zongzi. The Japanese table rice is a sticky, short-grain rice. Japanese sake rice is another kind as well.
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Indian rice cultivars include long-grained and aromatic Basmati (ਬਾਸਮਤੀ) (grown in the North), long and medium-grained Patna rice, and in South India (Andhra Pradesh and Karnataka) short-grained Sona Masuri (also called as Bangaru theegalu). In the state of Tamil Nadu, the most prized cultivar is ponni which is primarily grown in the delta regions of the Kaveri River. Kaveri is also referred to as ponni in the South and the name reflects the geographic region where it is grown. In the Western Indian state of Maharashtra, a short grain variety called Ambemohar is very popular. This rice has a characteristic fragrance of Mango blossom.
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Aromatic rices have definite aromas and flavors; the most noted cultivars are Thai fragrant rice, Basmati, Patna rice, Vietnamese fragrant rice, and a hybrid cultivar from America, sold under the trade name Texmati. Both Basmati and Texmati have a mild popcorn-like aroma and flavor. In Indonesia, there are also red and black cultivars.
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High-yield cultivars of rice suitable for cultivation in Africa and other dry ecosystems, called the new rice for Africa (NERICA) cultivars, have been developed. It is hoped that their cultivation will improve food security in West Africa.
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Draft genomes for the two most common rice cultivars, indica and japonica, were published in April 2002. Rice was chosen as a model organism for the biology of grasses because of its relatively small genome (~430 megabase pairs). Rice was the first crop with a complete genome sequence.[194]
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On December 16, 2002, the UN General Assembly declared the year 2004 the International Year of Rice. The declaration was sponsored by more than 40 countries.
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The high-yielding varieties are a group of crops created intentionally during the Green Revolution to increase global food production. This project enabled labor markets in Asia to shift away from agriculture, and into industrial sectors. The first "Rice Car", IR8 was produced in 1966 at the International Rice Research Institute which is based in the Philippines at the University of the Philippines' Los Baños site. IR8 was created through a cross between an Indonesian variety named "Peta" and a Chinese variety named "Dee Geo Woo Gen."[195]
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Scientists have identified and cloned many genes involved in the gibberellin signaling pathway, including GAI1 (Gibberellin Insensitive) and SLR1 (Slender Rice).[196] Disruption of gibberellin signaling can lead to significantly reduced stem growth leading to a dwarf phenotype. Photosynthetic investment in the stem is reduced dramatically as the shorter plants are inherently more stable mechanically. Assimilates become redirected to grain production, amplifying in particular the effect of chemical fertilizers on commercial yield. In the presence of nitrogen fertilizers, and intensive crop management, these varieties increase their yield two to three times.
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As the UN Millennium Development project seeks to spread global economic development to Africa, the "Green Revolution" is cited as the model for economic development. With the intent of replicating the successful Asian boom in agronomic productivity, groups like the Earth Institute are doing research on African agricultural systems, hoping to increase productivity. An important way this can happen is the production of "New Rices for Africa" (NERICA). These rices, selected to tolerate the low input and harsh growing conditions of African agriculture, are produced by the African Rice Center, and billed as technology "from Africa, for Africa". The NERICA have appeared in The New York Times (October 10, 2007) and International Herald Tribune (October 9, 2007), trumpeted as miracle crops that will dramatically increase rice yield in Africa and enable an economic resurgence. Ongoing research in China to develop perennial rice could result in enhanced sustainability and food security.
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Rice kernels do not contain vitamin A, so people who obtain most of their calories from rice are at risk of vitamin A deficiency. German and Swiss researchers have genetically engineered rice to produce beta-carotene, the precursor to vitamin A, in the rice kernel. The beta-carotene turns the processed (white) rice a "gold" color, hence the name "golden rice." The beta-carotene is converted to vitamin A in humans who consume the rice.[197] Although some rice strains produce beta-carotene in the hull, no non-genetically engineered strains have been found that produce beta-carotene in the kernel, despite the testing of thousands of strains. Additional efforts are being made to improve the quantity and quality of other nutrients in golden rice.[198]
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The International Rice Research Institute is currently further developing and evaluating Golden Rice as a potential new way to help address vitamin A deficiency.[199]
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Ventria Bioscience has genetically modified rice to express lactoferrin, lysozyme which are proteins usually found in breast milk, and human serum albumin, These proteins have antiviral, antibacterial, and antifungal effects.[200]
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Rice containing these added proteins can be used as a component in oral rehydration solutions which are used to treat diarrheal diseases, thereby shortening their duration and reducing recurrence. Such supplements may also help reverse anemia.[201]
|
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Due to the varying levels that water can reach in regions of cultivation, flood tolerant varieties have long been developed and used. Flooding is an issue that many rice growers face, especially in South and South East Asia where flooding annually affects 20 million hectares.[202] Standard rice varieties cannot withstand stagnant flooding of more than about a week,[203] mainly as it disallows the plant access to necessary requirements such as sunlight and essential gas exchanges, inevitably leading to plants being unable to recover.[202]
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In the past, this has led to massive losses in yields, such as in the Philippines, where in 2006, rice crops worth $65 million were lost to flooding.[204] Recently developed cultivars seek to improve flood tolerance.
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Drought represents a significant environmental stress for rice production, with 19–23 million hectares of rainfed rice production in South and South East Asia often at risk.[205][206] Under drought conditions, without sufficient water to afford them the ability to obtain the required levels of nutrients from the soil, conventional commercial rice varieties can be severely affected—for example, yield losses as high as 40% have affected some parts of India, with resulting losses of around US$800 million annually.[207]
|
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The International Rice Research Institute conducts research into developing drought-tolerant rice varieties, including the varieties 5411 and Sookha dhan, currently being employed by farmers in the Philippines and Nepal respectively.[206] In addition, in 2013 the Japanese National Institute for Agrobiological Sciences led a team which successfully inserted the DEEPER ROOTING 1 (DRO1) gene, from the Philippine upland rice variety Kinandang Patong, into the popular commercial rice variety IR64, giving rise to a far deeper root system in the resulting plants.[207] This facilitates an improved ability for the rice plant to derive its required nutrients in times of drought via accessing deeper layers of soil, a feature demonstrated by trials which saw the IR64 + DRO1 rice yields drop by 10% under moderate drought conditions, compared to 60% for the unmodified IR64 variety.[207][208]
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Soil salinity poses a major threat to rice crop productivity, particularly along low-lying coastal areas during the dry season.[205] For example, roughly 1 million hectares of the coastal areas of Bangladesh are affected by saline soils.[209] These high concentrations of salt can severely affect rice plants' normal physiology, especially during early stages of growth, and as such farmers are often forced to abandon these otherwise potentially usable areas.[210][211]
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Progress has been made, however, in developing rice varieties capable of tolerating such conditions; the hybrid created from the cross between the commercial rice variety IR56 and the wild rice species Oryza coarctata is one example.[212] O. coarctata is capable of successful growth in soils with double the limit of salinity of normal varieties, but lacks the ability to produce edible rice.[212] Developed by the International Rice Research Institute, the hybrid variety can utilise specialised leaf glands that allow for the removal of salt into the atmosphere. It was initially produced from one successful embryo out of 34,000 crosses between the two species; this was then backcrossed to IR56 with the aim of preserving the genes responsible for salt tolerance that were inherited from O. coarctata.[210] Extensive trials are planned prior to the new variety being available to farmers by approximately 2017–18.[210]
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When the problem of soil salinity arises it will be opportune to select salt tolerant varieties (IRRI[214] or to resort to soil salinity control.
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Soil salinity is often measured as the electric conductivity (EC) of the extract of a saturated soil paste (ECe). The EC units are usually expressed in millimho/cm or dS/m. The critical ECe value of 5.5 dS/m in the figure, obtained from measurements in farmers' fields, indicates that the rice crop is slightly salt sensitive.
|
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Producing rice in paddies is harmful for the environment due to the release of methane by methanogenic bacteria. These bacteria live in the anaerobic waterlogged soil, and live off nutrients released by rice roots. Researchers have recently reported in Nature that putting the barley gene SUSIBA2 into rice creates a shift in biomass production from root to shoot (above ground tissue becomes larger, while below ground tissue is reduced), decreasing the methanogen population, and resulting in a reduction of methane emissions of up to 97%. Apart from this environmental benefit, the modification also increases the amount of rice grains by 43%, which makes it a useful tool in feeding a growing world population.[215][216]
|
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Rice is used as a model organism for investigating the molecular mechanisms of meiosis and DNA repair in higher plants. Meiosis is a key stage of the sexual cycle in which diploid cells in the ovule (female structure) and the anther (male structure) produce haploid cells that develop further into gametophytes and gametes. So far, 28 meiotic genes of rice have been characterized.[217] Studies of rice gene OsRAD51C showed that this gene is necessary for homologous recombinational repair of DNA, particularly the accurate repair of DNA double-strand breaks during meiosis.[218] Rice gene OsDMC1 was found to be essential for pairing of homologous chromosomes during meiosis,[219] and rice gene OsMRE11 was found to be required for both synapsis of homologous chromosomes and repair of double-strand breaks during meiosis.[220]
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Rice plays an important role in certain religions and popular beliefs. In many cultures relatives will scatter rice during or towards the end of a wedding ceremony in front of the bride and groom.[221]
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The pounded rice ritual is conducted during weddings in Nepal. The bride gives a leafplate full of pounded rice to the groom after he requests it politely from her.[222]
|
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In the Philippines rice wine, popularly known as tapuy, is used for important occasions such as weddings, rice harvesting ceremonies and other celebrations.[223]
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Dewi Sri is the traditional rice goddess of the Javanese, Sundanese, and Balinese people in Indonesia. Most rituals involving Dewi Sri are associated with the mythical origin attributed to the rice plant, the staple food of the region.[224][225] In Thailand, a similar rice deity is known as Phosop; she is a deity more related to ancient local folklore than a goddess of a structured, mainstream religion.[226] The same female rice deity is known as Po Ino Nogar in Cambodia and as Nang Khosop in Laos. Ritual offerings are made during the different stages of rice production to propitiate the Rice Goddess in the corresponding cultures.
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A 2014 study of Han Chinese communities found that a history of farming rice makes cultures more psychologically interdependent, whereas a history of farming wheat makes cultures more independent.[227]
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A Royal Ploughing Ceremony is held in certain Asian countries to mark the beginning of the rice planting season. It is still honored in the kingdoms of Cambodia and Thailand.
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en/5114.html.txt
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Ethernet (/ˈiːθərnɛt/) is a family of computer networking technologies commonly used in local area networks (LAN), metropolitan area networks (MAN) and wide area networks (WAN).[1] It was commercially introduced in 1980 and first standardized in 1983 as IEEE 802.3. Ethernet has since been refined to support higher bit rates, a greater number of nodes, and longer link distances, but retains much backward compatibility. Over time, Ethernet has largely replaced competing wired LAN technologies such as Token Ring, FDDI and ARCNET.
|
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|
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The original 10BASE5 Ethernet uses coaxial cable as a shared medium, while the newer Ethernet variants use twisted pair and fiber optic links in conjunction with switches. Over the course of its history, Ethernet data transfer rates have been increased from the original 2.94 megabits per second (Mbit/s)[2] to the latest 400 gigabits per second (Gbit/s). The Ethernet standards comprise several wiring and signaling variants of the OSI physical layer in use with Ethernet.
|
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|
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Systems communicating over Ethernet divide a stream of data into shorter pieces called frames. Each frame contains source and destination addresses, and error-checking data so that damaged frames can be detected and discarded; most often, higher-layer protocols trigger retransmission of lost frames. As per the OSI model, Ethernet provides services up to and including the data link layer.[3] The 48-bit MAC address was adopted by other IEEE 802 networking standards, including IEEE 802.11 Wi-Fi, as well as by FDDI, and EtherType values are also used in Subnetwork Access Protocol (SNAP) headers.
|
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|
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Ethernet is widely used in homes and industry, and interworks well with Wi-Fi. The Internet Protocol is commonly carried over Ethernet and so it is considered one of the key technologies that make up the Internet.
|
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+
|
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+
Ethernet was developed at Xerox PARC between 1973 and 1974.[4][5] It was inspired by ALOHAnet, which Robert Metcalfe had studied as part of his PhD dissertation.[6] The idea was first documented in a memo that Metcalfe wrote on May 22, 1973, where he named it after the luminiferous aether once postulated to exist as an "omnipresent, completely-passive medium for the propagation of electromagnetic waves."[4][7][8] In 1975, Xerox filed a patent application listing Metcalfe, David Boggs, Chuck Thacker, and Butler Lampson as inventors.[9] In 1976, after the system was deployed at PARC, Metcalfe and Boggs published a seminal paper.[10][a] Yogen Dalal,[12] Ron Crane, Bob Garner, and Roy Ogus facilitated the upgrade from the original 2.94 Mbit/s protocol to the 10 Mbit/s protocol, which was released to the market in 1980.[13]
|
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|
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Metcalfe left Xerox in June 1979 to form 3Com.[4][14] He convinced Digital Equipment Corporation (DEC), Intel, and Xerox to work together to promote Ethernet as a standard. As part of that process Xerox agreed to relinquish their 'Ethernet' trademark.[15] The first standard was published on September 30, 1980 as "The Ethernet, A Local Area Network. Data Link Layer and Physical Layer Specifications". This so-called DIX standard (Digital Intel Xerox) specified 10 Mbit/s Ethernet, with 48-bit destination and source addresses and a global 16-bit Ethertype-type field.[16] Version 2 was published in November, 1982[17] and defines what has become known as Ethernet II. Formal standardization efforts proceeded at the same time and resulted in the publication of IEEE 802.3 on June 23, 1983.[18]
|
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|
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+
Ethernet initially competed with Token Ring and other proprietary protocols. Ethernet was able to adapt to market needs and with 10BASE2, shift to inexpensive thin coaxial cable and from 1990, to the now-ubiquitous twisted pair with 10BASE-T. By the end of the 1980s, Ethernet was clearly the dominant network technology.[4] In the process, 3Com became a major company. 3Com shipped its first 10 Mbit/s Ethernet 3C100 NIC in March 1981, and that year started selling adapters for PDP-11s and VAXes, as well as Multibus-based Intel and Sun Microsystems computers.[19]:9 This was followed quickly by DEC's Unibus to Ethernet adapter, which DEC sold and used internally to build its own corporate network, which reached over 10,000 nodes by 1986, making it one of the largest computer networks in the world at that time.[20] An Ethernet adapter card for the IBM PC was released in 1982, and, by 1985, 3Com had sold 100,000.[14] In the 1980s, IBM's own PC Network product competed with Ethernet for the PC, and through the 1980s, LAN hardware, in general, was not common on PCs. However, in the mid to late 1980s, PC networking did become popular in offices and schools for printer and fileserver sharing, and among the many diverse competing LAN technologies of that decade, Ethernet was one of the most popular. Parallel port based Ethernet adapters were produced for a time, with drivers for DOS and Windows. By the early 1990s, Ethernet became so prevalent that Ethernet ports began to appear on some PCs and most workstations. This process was greatly sped up with the introduction of 10BASE-T and its relatively small modular connector, at which point Ethernet ports appeared even on low-end motherboards.[citation needed]
|
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+
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+
Since then, Ethernet technology has evolved to meet new bandwidth and market requirements.[21] In addition to computers, Ethernet is now used to interconnect appliances and other personal devices.[4] As Industrial Ethernet it is used in industrial applications and is quickly replacing legacy data transmission systems in the world's telecommunications networks.[22] By 2010, the market for Ethernet equipment amounted to over $16 billion per year.[23]
|
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+
|
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+
In February 1980, the Institute of Electrical and Electronics Engineers (IEEE) started project 802 to standardize local area networks (LAN).[14][24] The "DIX-group" with Gary Robinson (DEC), Phil Arst (Intel), and Bob Printis (Xerox) submitted the so-called "Blue Book" CSMA/CD specification as a candidate for the LAN specification.[16] In addition to CSMA/CD, Token Ring (supported by IBM) and Token Bus (selected and henceforward supported by General Motors) were also considered as candidates for a LAN standard. Competing proposals and broad interest in the initiative led to strong disagreement over which technology to standardize. In December 1980, the group was split into three subgroups, and standardization proceeded separately for each proposal.[14]
|
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+
|
21 |
+
Delays in the standards process put at risk the market introduction of the Xerox Star workstation and 3Com's Ethernet LAN products. With such business implications in mind, David Liddle (General Manager, Xerox Office Systems) and Metcalfe (3Com) strongly supported a proposal of Fritz Röscheisen (Siemens Private Networks) for an alliance in the emerging office communication market, including Siemens' support for the international standardization of Ethernet (April 10, 1981). Ingrid Fromm, Siemens' representative to IEEE 802, quickly achieved broader support for Ethernet beyond IEEE by the establishment of a competing Task Group "Local Networks" within the European standards body ECMA TC24. On March 1982, ECMA TC24 with its corporate members reached an agreement on a standard for CSMA/CD based on the IEEE 802 draft.[19]:8 Because the DIX proposal was most technically complete and because of the speedy action taken by ECMA which decisively contributed to the conciliation of opinions within IEEE, the IEEE 802.3 CSMA/CD standard was approved in December 1982.[14] IEEE published the 802.3 standard as a draft in 1983 and as a standard in 1985.[25]
|
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+
|
23 |
+
Approval of Ethernet on the international level was achieved by a similar, cross-partisan action with Fromm as the liaison officer working to integrate with International Electrotechnical Commission (IEC) Technical Committee 83 and International Organization for Standardization (ISO) Technical Committee 97 Sub Committee 6. The ISO 8802-3 standard was published in 1989.[26]
|
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+
|
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+
Ethernet has evolved to include higher bandwidth, improved medium access control methods, and different physical media. The coaxial cable was replaced with point-to-point links connected by Ethernet repeaters or switches.[27]
|
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+
|
27 |
+
Ethernet stations communicate by sending each other data packets: blocks of data individually sent and delivered. As with other IEEE 802 LANs, adapters come programmed with globally unique 48-bit MAC address so that each Ethernet station has a unique address[b]. The MAC addresses are used to specify both the destination and the source of each data packet. Ethernet establishes link-level connections, which can be defined using both the destination and source addresses. On reception of a transmission, the receiver uses the destination address to determine whether the transmission is relevant to the station or should be ignored. A network interface normally does not accept packets addressed to other Ethernet stations.[c][d]
|
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|
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+
An EtherType field in each frame is used by the operating system on the receiving station to select the appropriate protocol module (e.g., an Internet Protocol version such as IPv4). Ethernet frames are said to be self-identifying, because of the EtherType field. Self-identifying frames make it possible to intermix multiple protocols on the same physical network and allow a single computer to use multiple protocols together.[28] Despite the evolution of Ethernet technology, all generations of Ethernet (excluding early experimental versions) use the same frame formats.[29] Mixed-speed networks can be built using Ethernet switches and repeaters supporting the desired Ethernet variants.[30]
|
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+
|
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+
Due to the ubiquity of Ethernet, the ever-decreasing cost of the hardware needed to support it, and the reduced panel space needed by twisted pair Ethernet, most manufacturers now build Ethernet interfaces directly into PC motherboards, eliminating the need for installation of a separate network card.[31]
|
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+
|
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+
Ethernet was originally based on the idea of computers communicating over a shared coaxial cable acting as a broadcast transmission medium. The method used was similar to those used in radio systems,[e] with the common cable providing the communication channel likened to the Luminiferous aether in 19th century physics, and it was from this reference that the name "Ethernet" was derived.[32]
|
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+
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+
Original Ethernet's shared coaxial cable (the shared medium) traversed a building or campus to every attached machine. A scheme known as carrier sense multiple access with collision detection (CSMA/CD) governed the way the computers shared the channel. This scheme was simpler than competing Token Ring or Token Bus technologies.[f] Computers are connected to an Attachment Unit Interface (AUI) transceiver, which is in turn connected to the cable (with thin Ethernet the transceiver is usually integrated into the network adapter). While a simple passive wire is highly reliable for small networks, it is not reliable for large extended networks, where damage to the wire in a single place, or a single bad connector, can make the whole Ethernet segment unusable.[g]
|
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Through the first half of the 1980s, Ethernet's 10BASE5 implementation used a coaxial cable 0.375 inches (9.5 mm) in diameter, later called "thick Ethernet" or "thicknet". Its successor, 10BASE2, called "thin Ethernet" or "thinnet", used the RG-58 coaxial cable. The emphasis was on making installation of the cable easier and less costly.[33]:57
|
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+
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+
Since all communication happens on the same wire, any information sent by one computer is received by all, even if that information is intended for just one destination.[h] The network interface card interrupts the CPU only when applicable packets are received: the card ignores information not addressed to it.[i] Use of a single cable also means that the data bandwidth is shared, such that, for example, available data bandwidth to each device is halved when two stations are simultaneously active.[34]
|
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+
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+
A collision happens when two stations attempt to transmit at the same time. They corrupt transmitted data and require stations to re-transmit. The lost data and re-transmission reduces throughput. In the worst case, where multiple active hosts connected with maximum allowed cable length attempt to transmit many short frames, excessive collisions can reduce throughput dramatically. However, a Xerox report in 1980 studied performance of an existing Ethernet installation under both normal and artificially generated heavy load. The report claimed that 98% throughput on the LAN was observed.[35] This is in contrast with token passing LANs (Token Ring, Token Bus), all of which suffer throughput degradation as each new node comes into the LAN, due to token waits. This report was controversial, as modeling showed that collision-based networks theoretically became unstable under loads as low as 37% of nominal capacity. Many early researchers failed to understand these results. Performance on real networks is significantly better.[36]
|
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+
In a modern Ethernet, the stations do not all share one channel through a shared cable or a simple repeater hub; instead, each station communicates with a switch, which in turn forwards that traffic to the destination station. In this topology, collisions are only possible if station and switch attempt to communicate with each other at the same time, and collisions are limited to this link. Furthermore, the 10BASE-T standard introduced a full duplex mode of operation which became common with Fast Ethernet and the de facto standard with Gigabit Ethernet. In full duplex, switch and station can send and receive simultaneously, and therefore modern Ethernets are completely collision-free.
|
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+
The original Ethernet implementation: shared medium, collision-prone. All computers trying to communicate share the same cable, and so compete with each other.
|
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+
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+
Modern Ethernet implementation: switched connection, collision-free. Each computer communicates only with its own switch, without competition for the cable with others.
|
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+
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+
For signal degradation and timing reasons, coaxial Ethernet segments have a restricted size.[37] Somewhat larger networks can be built by using an Ethernet repeater. Early repeaters had only two ports, allowing, at most, a doubling of network size. Once repeaters with more than two ports became available, it was possible to wire the network in a star topology. Early experiments with star topologies (called "Fibernet") using optical fiber were published by 1978.[38]
|
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Shared cable Ethernet is always hard to install in offices because its bus topology is in conflict with the star topology cable plans designed into buildings for telephony. Modifying Ethernet to conform to twisted pair telephone wiring already installed in commercial buildings provided another opportunity to lower costs, expand the installed base, and leverage building design, and, thus, twisted-pair Ethernet was the next logical development in the mid-1980s.
|
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+
|
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+
Ethernet on unshielded twisted-pair cables (UTP) began with StarLAN at 1 Mbit/s in the mid-1980s. In 1987 SynOptics introduced the first twisted-pair Ethernet at 10 Mbit/s in a star-wired cabling topology with a central hub, later called LattisNet.[14][32]:29[39] These evolved into 10BASE-T, which was designed for point-to-point links only, and all termination was built into the device. This changed repeaters from a specialist device used at the center of large networks to a device that every twisted pair-based network with more than two machines had to use. The tree structure that resulted from this made Ethernet networks easier to maintain by preventing most faults with one peer or its associated cable from affecting other devices on the network.[citation needed]
|
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+
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+
Despite the physical star topology and the presence of separate transmit and receive channels in the twisted pair and fiber media, repeater-based Ethernet networks still use half-duplex and CSMA/CD, with only minimal activity by the repeater, primarily generation of the jam signal in dealing with packet collisions. Every packet is sent to every other port on the repeater, so bandwidth and security problems are not addressed. The total throughput of the repeater is limited to that of a single link, and all links must operate at the same speed.[32]:278
|
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+
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+
While repeaters can isolate some aspects of Ethernet segments, such as cable breakages, they still forward all traffic to all Ethernet devices. The entire network is one collision domain, and all hosts have to be able to detect collisions anywhere on the network. This limits the number of repeaters between the farthest nodes and creates practical limits on how many machines can communicate on an Ethernet network. Segments joined by repeaters have to all operate at the same speed, making phased-in upgrades impossible.[citation needed]
|
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To alleviate these problems, bridging was created to communicate at the data link layer while isolating the physical layer. With bridging, only well-formed Ethernet packets are forwarded from one Ethernet segment to another; collisions and packet errors are isolated. At initial startup, Ethernet bridges work somewhat like Ethernet repeaters, passing all traffic between segments. By observing the source addresses of incoming frames, the bridge then builds an address table associating addresses to segments. Once an address is learned, the bridge forwards network traffic destined for that address only to the associated segment, improving overall performance. Broadcast traffic is still forwarded to all network segments. Bridges also overcome the limits on total segments between two hosts and allow the mixing of speeds, both of which are critical to the incremental deployment of faster Ethernet variants.[citation needed]
|
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In 1989, Motorola Codex introduced their 6310 EtherSpan, and Kalpana introduced their EtherSwitch; these were examples of the first commercial Ethernet switches.[j] Early switches such as this used cut-through switching where only the header of the incoming packet is examined before it is either dropped or forwarded to another segment.[40] This reduces the forwarding latency. One drawback of this method is that it does not readily allow a mixture of different link speeds. Another is that packets that have been corrupted are still propagated through the network. The eventual remedy for this was a return to the original store and forward approach of bridging, where the packet is read into a buffer on the switch in its entirety, its frame check sequence verified and only then the packet is forwarded.[40] In modern network equipment, this process is typically done using application-specific integrated circuits allowing packets to be forwarded at wire speed.[citation needed]
|
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When a twisted pair or fiber link segment is used and neither end is connected to a repeater, full-duplex Ethernet becomes possible over that segment. In full-duplex mode, both devices can transmit and receive to and from each other at the same time, and there is no collision domain.[41] This doubles the aggregate bandwidth of the link and is sometimes advertised as double the link speed (for example, 200 Mbit/s for Fast Ethernet).[k] The elimination of the collision domain for these connections also means that all the link's bandwidth can be used by the two devices on that segment and that segment length is not limited by the constraints of collision detection.
|
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|
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Since packets are typically delivered only to the port they are intended for, traffic on a switched Ethernet is less public than on shared-medium Ethernet. Despite this, switched Ethernet should still be regarded as an insecure network technology, because it is easy to subvert switched Ethernet systems by means such as ARP spoofing and MAC flooding.[citation needed][42]
|
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+
|
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The bandwidth advantages, the improved isolation of devices from each other, the ability to easily mix different speeds of devices and the elimination of the chaining limits inherent in non-switched Ethernet have made switched Ethernet the dominant network technology.[43]
|
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+
|
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+
Simple switched Ethernet networks, while a great improvement over repeater-based Ethernet, suffer from single points of failure, attacks that trick switches or hosts into sending data to a machine even if it is not intended for it, scalability and security issues with regard to switching loops, broadcast radiation and multicast traffic.[citation needed]
|
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|
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+
Advanced networking features in switches use shortest path bridging (SPB) or the spanning-tree protocol (STP) to maintain a loop-free, meshed network, allowing physical loops for redundancy (STP) or load-balancing (SPB). Advanced networking features also ensure port security, provide protection features such as MAC lockdown[44] and broadcast radiation filtering, use virtual LANs to keep different classes of users separate while using the same physical infrastructure, employ multilayer switching to route between different classes, and use link aggregation to add bandwidth to overloaded links and to provide some redundancy.[citation needed]
|
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+
|
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+
Shortest path bridging includes the use of the link-state routing protocol IS-IS to allow larger networks with shortest path routes between devices. In 2012, it was stated by David Allan and Nigel Bragg, in 802.1aq Shortest Path Bridging Design and Evolution: The Architect's Perspective that shortest path bridging is one of the most significant enhancements in Ethernet's history.[45]
|
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+
|
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+
Ethernet has replaced InfiniBand as the most popular system interconnect of TOP500 supercomputers.[46]
|
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+
|
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+
The Ethernet physical layer evolved over a considerable time span and encompasses coaxial, twisted pair and fiber-optic physical media interfaces, with speeds from 10 Mbit/s to 100 Gbit/s, with 400 Gbit/s expected by 2018.[47] The first introduction of twisted-pair CSMA/CD was StarLAN, standardized as 802.3 1BASE5.[48] While 1BASE5 had little market penetration, it defined the physical apparatus (wire, plug/jack, pin-out, and wiring plan) that would be carried over to 10BASE-T.
|
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+
|
79 |
+
The most common forms used are 10BASE-T, 100BASE-TX, and 1000BASE-T. All three use twisted pair cables and 8P8C modular connectors. They run at 10 Mbit/s, 100 Mbit/s, and 1 Gbit/s, respectively.[citation needed]
|
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+
|
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+
Fiber optic variants of Ethernet (that use SFP) are also very common in larger networks, offering high performance, better electrical isolation and longer distance (tens of kilometers with some versions). In general, network protocol stack software will work similarly on all varieties.[citation needed]
|
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|
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In IEEE 802.3, a datagram is called a packet or frame. Packet is used to describe the overall transmission unit and includes the preamble, start frame delimiter (SFD) and carrier extension (if present).[l] The frame begins after the start frame delimiter with a frame header featuring source and destination MAC addresses and the EtherType field giving either the protocol type for the payload protocol or the length of the payload. The middle section of the frame consists of payload data including any headers for other protocols (for example, Internet Protocol) carried in the frame. The frame ends with a 32-bit cyclic redundancy check, which is used to detect corruption of data in transit.[49]:sections 3.1.1 and 3.2 Notably, Ethernet packets have no time-to-live field, leading to possible problems in the presence of a switching loop.
|
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+
|
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+
Autonegotiation is the procedure by which two connected devices choose common transmission parameters, e.g. speed and duplex mode. Autonegotiation was initially an optional feature, first introduced with 100BASE-TX, while it is also backward compatible with 10BASE-T. Autonegotiation is mandatory for 1000BASE-T and faster.
|
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+
|
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+
A switching loop or bridge loop occurs in computer networks when there is more than one Layer 2 (OSI model) path between two endpoints (e.g. multiple connections between two network switches or two ports on the same switch connected to each other). The loop creates broadcast storms as broadcasts and multicasts are forwarded by switches out every port, the switch or switches will repeatedly rebroadcast the broadcast messages flooding the network. Since the Layer 2 header does not support a time to live (TTL) value, if a frame is sent into a looped topology, it can loop forever.[citation needed]
|
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+
|
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+
A physical topology that contains switching or bridge loops is attractive for redundancy reasons, yet a switched network must not have loops. The solution is to allow physical loops, but create a loop-free logical topology using the shortest path bridging (SPB) protocol or the older spanning tree protocols (STP) on the network switches.[citation needed]
|
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+
|
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A node that is sending longer than the maximum transmission window for an Ethernet packet is considered to be jabbering. Depending on the physical topology, jabber detection and remedy differ somewhat.
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en/5115.html.txt
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Roald Engelbregt Gravning Amundsen (UK: /ˈɑːmʊndsən/, US: /-məns-/;[2][3][needs Norwegian IPA] 16 July 1872 – c. 18 June 1928) was a Norwegian explorer of polar regions and a key figure of the Heroic Age of Antarctic Exploration. He led the first expedition to traverse the Northwest Passage by sea, from 1903 to 1906, and the first expedition to the South Pole in 1911. He led the first expedition proven to have reached the North Pole in a dirigible in 1926.[4][5] He disappeared while taking part in a rescue mission for the airship Italia in 1928.
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Amundsen was born into a family of Norwegian shipowners and captains in Borge, between the towns Fredrikstad and Sarpsborg. His parents were Jens Amundsen and Hanna Sahlqvist. Roald was the fourth son in the family. His mother wanted him to avoid the family maritime trade and encouraged him to become a doctor, a promise that Amundsen kept until his mother died when he was aged 21. He promptly quit university for a life at sea.[6]
|
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When he was fifteen years old, Amundsen was enthralled by reading Sir John Franklin's narratives of his overland Arctic expeditions. Amundsen wrote "I read them with a fervid fascination which has shaped the whole course of my life".[7]
|
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+
|
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+
Amundsen joined the Belgian Antarctic Expedition as first mate. This expedition, led by Adrien de Gerlache using the ship the RV Belgica, became the first expedition to overwinter in Antarctica.[8] The Belgica, whether by mistake or design, became locked in the sea ice at 70°30′S off Alexander Island, west of the Antarctic Peninsula. The crew endured a winter for which they were poorly prepared.
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|
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+
By Amundsen's own estimation, the doctor for the expedition, the American Frederick Cook, probably saved the crew from scurvy by hunting for animals and feeding the crew fresh meat. In cases where citrus fruits are lacking, fresh meat from animals that make their own vitamin C contains enough of the vitamin to prevent scurvy, and even partly treat it. This was an important lesson for Amundsen's future expeditions.
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In 1903, Amundsen led the first expedition to successfully traverse Canada's Northwest Passage between the Atlantic and Pacific oceans. He planned a small expedition of six men in a 45-ton fishing vessel, Gjøa, in order to have flexibility. His ship had relatively shallow draft. His technique was to use a small ship and hug the coast. Amundsen had the ship outfitted with a small 13 horsepower single-screw paraffin engine.[9]
|
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+
They traveled via Baffin Bay, the Parry Channel and then south through Peel Sound, James Ross Strait, Simpson Strait and Rae Strait. They spent two winters at King William Island, in the harbor of what is today Gjoa Haven.[8][9] During this time, Amundsen and the crew learned from the local Netsilik Inuit people about Arctic survival skills, which he found invaluable in his later expedition to the South Pole. For example, he learned to use sled dogs for transportation of goods and to wear animal skins in lieu of heavy, woolen parkas, which could not keep out the cold when wet.
|
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|
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+
Leaving Gjoa Haven, he sailed west and passed Cambridge Bay, which had been reached from the west by Richard Collinson in 1852. Continuing to the south of Victoria Island, the ship cleared the Canadian Arctic Archipelago on 17 August 1905. It had to stop for the winter before going on to Nome on Alaska's Pacific coast. The nearest telegraph station was 500 miles (800 km) away in Eagle. Amundsen traveled there overland to wire a success message on 5 December, then returned to Nome in 1906. Later that year he was elected to the American Antiquarian Society.[10]
|
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+
|
21 |
+
At this time, Amundsen learned of the dissolution of the union between Norway and Sweden, and that he had a new king. The explorer sent the new king, Haakon VII, news that his traversing the Northwest Passage "was a great achievement for Norway".[11] He said he hoped to do more and signed it "Your loyal subject, Roald Amundsen."[11] The crew returned to Oslo in November 1906, after almost three-and-a-half years abroad. Gjøa was returned to Norway in 1972. After a 45-day trip from San Francisco on a bulk carrier, she was placed on land outside the Fram Museum in Oslo[11], where she is now situated inside her own dedicated building at the museum.
|
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+
|
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+
Amundsen next planned to take an expedition to the North Pole and explore the Arctic Basin. Finding it difficult to raise funds, when he heard in 1909 that the Americans Frederick Cook and Robert Peary had claimed to reach the North Pole as a result of two different expeditions, he decided to reroute to Antarctica.[12] He was not clear about his intentions, and Robert F. Scott and the Norwegian supporters felt misled.[12] Scott was planning his own expedition to the South Pole that year. Using the ship Fram, earlier used by Fridtjof Nansen, Amundsen left Oslo for the south on 3 June 1910.[12][13] At Madeira, Amundsen alerted his men that they would be heading to Antarctica, and sent a telegram to Scott: "Beg to inform you Fram proceeding Antarctic – Amundsen."[12]
|
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+
|
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+
Nearly six months later, the expedition arrived at the eastern edge of the Ross Ice Shelf (then known as "the Great Ice Barrier"), at a large inlet called the Bay of Whales, on 14 January 1911. Amundsen established his base camp there, calling it Framheim. Amundsen eschewed the heavy wool clothing worn on earlier Antarctic attempts in favour of adopting Inuit-style furred skins.[6]
|
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+
|
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+
Using skis and dog sleds for transportation, Amundsen and his men created supply depots at 80°, 81° and 82° South on the Barrier, along a line directly south to the Pole.[6] Amundsen also planned to kill some of his dogs on the way and use them as a source for fresh meat. A small group, including Hjalmar Johansen, Kristian Prestrud and Jørgen Stubberud, set out on 8 September, but had to abandon their trek due to extreme temperatures. The painful retreat caused a quarrel within the group, and Amundsen sent Johansen and the other two men to explore King Edward VII Land.
|
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+
|
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+
A second attempt, with a team of five made up of Olav Bjaaland, Helmer Hanssen, Sverre Hassel, Oscar Wisting and Amundsen, departed base camp on 19 October. They took four sledges and 52 dogs. Using a route along the previously unknown Axel Heiberg Glacier, they arrived at the edge of the Polar Plateau on 21 November after a four-day climb. The team and 16 dogs arrived at the pole on 14 December, a month before Scott's group.[n 1] Amundsen named their South Pole camp Polheim. Amundsen renamed the Antarctic Plateau as King Haakon VII's Plateau. They left a small tent and letter stating their accomplishment, in case they did not return safely to Framheim.
|
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+
|
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The team arrived at Framheim on 25 January 1912, with 11 surviving dogs. They made their way off the continent and to Hobart, Australia, where Amundsen publicly announced his success on 7 March 1912. He telegraphed news to backers.
|
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+
|
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+
Amundsen's expedition benefited from his careful preparation, good equipment, appropriate clothing, a simple primary task, an understanding of dogs and their handling, and the effective use of skis. In contrast to the misfortunes of Scott's team, Amundsen's trek proved relatively smooth and uneventful.
|
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+
|
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+
In 1918, an expedition Amundsen began with a new ship, Maud, lasted until 1925. Maud was carefully navigated through the ice west to east through the Northeast Passage. With him on this expedition were Oscar Wisting and Helmer Hanssen, both of whom had been part of the team to reach the South Pole. In addition, Henrik Lindstrøm was included as a cook. He suffered a stroke and was so physically reduced that he could not participate.
|
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+
|
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+
The goal of the expedition was to explore the unknown areas of the Arctic Ocean, strongly inspired by Fridtjof Nansen's earlier expedition with Fram. The plan was to sail along the coast of Siberia and go into the ice farther to the north and east than Nansen had. In contrast to Amundsen's earlier expeditions, this was expected to yield more material for academic research, and he carried the geophysicist Harald Sverdrup on board.
|
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+
|
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+
The voyage was to the northeasterly direction over the Kara Sea. Amundsen planned to freeze the Maud into the polar ice cap and drift towards the North Pole – as Nansen had done with the Fram – and he did so off Cape Chelyuskin. But, the ice became so thick that the ship was unable to break free, although it was designed for such a journey in heavy ice. In September 1919, the crew got the ship loose from the ice, but it froze again after eleven days somewhere between the New Siberian Islands and Wrangel Island.
|
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During this time, Amundsen suffered a broken arm and was attacked by polar bears.[15] As a result, he participated little in the work outdoors, such as sleigh rides and hunting. He, Hanssen, and Wisting, along with two other men, embarked on an expedition by dog sled to Nome, Alaska, more than 1,000 kilometres (620 mi) away. But they found that the ice was not frozen solid in the Bering Strait, and it could not be crossed. They sent a telegram from Anadyr to signal their location.
|
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|
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After two winters frozen in the ice, without having achieved the goal of drifting over the North Pole, Amundsen decided to go to Nome to repair the ship and buy provisions. Several of the crew ashore there, including Hanssen, did not return on time to the ship. Amundsen considered Hanssen to be in breach of contract, and dismissed him from the crew.
|
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During the third winter, Maud was frozen in the western Bering Strait. She finally became free and the expedition sailed south, reaching Seattle, in the American Pacific Northwest in 1921 for repairs. Amundsen returned to Norway, needing to put his finances in order. He took with him two young indigenous girls, a four-year-old he adopted, Kakonita, and her companion Camilla. When Amundsen went bankrupt two years later, however, he sent the girls to be cared for by Camilla's father, who lived in eastern Russia.[16]
|
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In June 1922, Amundsen returned to Maud, which had been sailed to Nome.[17] He decided to shift from the planned naval expedition to aerial ones, and arranged to charter a plane. He divided the expedition team in two: one part, led by him, was to winter over and prepare for an attempt to fly over the pole in 1923. The second team on Maud, under the command of Wisting, was to resume the original plan to drift over the North Pole in the ice. The ship drifted in the ice for three years east of the New Siberian Islands, never reaching the North Pole. It was finally seized by Amundsen's creditors as collateral for his mounting debt.
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The 1923 attempt to fly over the Pole failed. Amundsen and Oskar Omdal, of the Royal Norwegian Navy, tried to fly from Wainwright, Alaska, to Spitsbergen across the North Pole. When their aircraft was damaged, they abandoned the journey. To raise additional funds, Amundsen traveled around the United States in 1924 on a lecture tour. Although he was unable to reach the North Pole, the scientific results of the expedition, mainly the work of Sverdrup, have proven to be of considerable value. Much of the carefully collected scientific data was lost during the ill-fated journey of Peter Tessem and Paul Knutsen, two crew members sent on a mission by Amundsen. The scientific materials were later retrieved by Russian scientist Nikolay Urvantsev from where they had been abandoned on the shores of the Kara Sea.[18]
|
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In 1925, accompanied by Lincoln Ellsworth, pilot Hjalmar Riiser-Larsen, flight mechanic Karl Feucht and two other team members, Amundsen took two Dornier Do J flying boats, the N-24 and N-25, to 87° 44′ north. It was the northernmost latitude reached by plane up to that time. The aircraft landed a few miles apart without radio contact, yet the crews managed to reunite. The N-24 was damaged. Amundsen and his crew worked for more than three weeks to clean up an airstrip to take off from ice.[19] They shovelled 600 tons of ice while consuming only one pound (400 g) of daily food rations. In the end, the six crew members were packed into the N-25. In a remarkable feat, Riiser-Larsen took off, and they barely became airborne over the cracking ice. They returned triumphant when everyone thought they had been lost forever.
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In 1926, Amundsen and 15 other men (including Ellsworth, Riiser-Larsen, Oscar Wisting, and the Italian air crew led by aeronautical engineer Umberto Nobile made the first crossing of the Arctic in the airship Norge, designed by Nobile.[20] They left Spitsbergen on 11 May 1926, flew over the North Pole on 12 May,[21] and landed in Alaska the following day.
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The three previous claims to have arrived at the North Pole: Frederick Cook in 1908; Robert Peary in 1909; and Richard E. Byrd in 1926 (just a few days before the Norge) are disputed by some, as being either of dubious accuracy or outright fraud.[22][23] If these other claims are false, the crew of the Norge would be the first explorers verified to have reached the North Pole, floated over it in the Norge in 1926.[4][21] If the Norge expedition was the first to the North Pole, Amundsen and Oscar Wisting were the first men to have reached both geographical poles, by ground or by air.
|
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Amundsen disappeared on 18 June 1928 while flying on a rescue mission in the Arctic. His team included Norwegian pilot Leif Dietrichson, French pilot René Guilbaud, and three more Frenchmen. They were seeking missing members of Nobile's crew, whose new airship Italia had crashed while returning from the North Pole. Amundsen's French Latham 47 flying boat
|
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never returned.
|
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|
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Later, a wing-float and bottom gasoline tank from the plane, which had been adapted as a replacement wing-float, were found near the Tromsø coast. It is believed[by whom?] that the plane crashed in fog in the Barents Sea, and that Amundsen and his crew were killed in the wreck, or died shortly afterward. The search for Amundsen and team was called off in September 1928 by the Norwegian government, and the bodies were never found.
|
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In 2004 and in late August 2009, the Royal Norwegian Navy used the unmanned submarine Hugin 1000 to search for the wreckage of Amundsen's plane. The searches focused on a 40-square-mile (100 km2) area of the sea floor, and were documented by the German production company ContextTV.[24][25] They found nothing from the Amundsen flight.
|
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In 1925, Amundsen was awarded the Hans Egede Medal by the Royal Danish Geographical Society.[26]
|
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Owing to Amundsen's numerous significant accomplishments in polar exploration, many places in both the Arctic and Antarctic are named after him. The Amundsen–Scott South Pole Station, operated by the United States Antarctic Program, was jointly named in honour of Amundsen and his rival. British novelist Roald Dahl was named after Amundsen, as was Nobel Prize laureate Roald Hoffmann.
|
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The 1969 film The Red Tent tells the story of the Nobile expedition and Amundsen's disappearance. Sean Connery plays the role of Amundsen.[27]
|
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Huntford's book was adapted into the TV serial The Last Place on Earth. It aired in 1985 and featured Sverre Anker Ousdal as Amundsen.[28]
|
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On 15 February 2019, a biographic Norwegian film titled Amundsen, directed by Espen Sandberg, was released.[29]
|
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At least two Inuit people in Gjøa Haven with European ancestry have claimed to be descendants of Amundsen, from the period of their extended winter stay on King Williams Island from 1903 to 1905.[30] Accounts by members of the expedition told of their relations with Inuit women, and historians have speculated that Amundsen might also have taken a partner,[31] although he wrote a warning against this.[32]
|
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Specifically, half-brothers Bob Konona and Paul Ikuallaq say that their father Luke Ikuallaq told them on his deathbed that he was the son of Amundsen. Konona said that their father Ikuallaq was left out on the ice to die after his birth, as his European ancestry made him illegitimate to the Inuit, threatening their community. His Inuit grandparents saved him.
|
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In 2012, Y-DNA analysis, with the families' permission, showed that Ikuallaq was not a match to the direct male line of Amundsen.[32] Not all descendants claiming European ancestry have been tested for a match to Amundsen, nor has there been a comparison of Ikuallaq's DNA to that of other European members of Amundsen's crew.[32]
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Roald Dahl (Norwegian: [ˈrùːɑl ˈdɑːl],[1][2] commonly pronounced as /ˈroʊ.əld ˈdɑːl/;[3] 13 September 1916 – 23 November 1990) was a British novelist, short-story writer, poet, screenwriter, and wartime fighter pilot.[4] His books have sold more than 250 million copies worldwide.[5]
|
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|
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Dahl was born in Wales to Norwegian immigrant parents. He served in the Royal Air Force during the Second World War. He became a fighter ace, scoring 5 confirmed victories, and, subsequently, an intelligence officer, rising to the rank of acting wing commander. He rose to prominence as a writer in the 1940s with works for children and for adults, and he became one of the world's best-selling authors.[6][7] He has been referred to as "one of the greatest storytellers for children of the 20th century".[8] His awards for contribution to literature include the 1983 World Fantasy Award for Life Achievement and the British Book Awards' Children's Author of the Year in 1990. In 2008, The Times placed Dahl 16th on its list of "The 50 greatest British writers since 1945".[9]
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|
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Dahl's short stories are known for their unexpected endings, and his children's books for their unsentimental, macabre, often darkly comic mood, featuring villainous adult enemies of the child characters.[10][11] His books champion the kindhearted and feature an underlying warm sentiment.[12][13] His works for children include James and the Giant Peach, Charlie and the Chocolate Factory, Matilda, The Witches, Fantastic Mr Fox, The BFG, The Twits, and George's Marvellous Medicine. His adult works include Tales of the Unexpected.
|
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|
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Roald Dahl was born in 1916 at Villa Marie, Fairwater Road, in Llandaff, Cardiff, Wales to Norwegians Harald Dahl and Sofie Magdalene Dahl (née Hesselberg).[14] Dahl's father had immigrated to the UK from Sarpsborg in Norway and settled in Cardiff in the 1880s with his first wife, a Frenchwoman named Marie Beaurin-Gresser. They had two children together (Ellen Marguerite and Louis) before her death in 1907.[15] His mother immigrated to the UK and married his father in 1911. Dahl was named after Norwegian polar explorer Roald Amundsen. His first language was Norwegian, which he spoke at home with his parents and his sisters Astri, Alfhild, and Else. The children were raised in the Lutheran faith and were baptised at the Norwegian Church, Cardiff.[16]
|
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|
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Dahl's sister Astri died from appendicitis at age 7 in 1920 when Dahl was three years old, and his father died of pneumonia at age 57 several weeks later.[18] Later that year, his younger sister Asta was born.[15] Dahl's mother decided to remain in Wales instead of returning to Norway to live with relatives, as her husband had wanted their children to be educated in English schools, which he considered the world's best.[19]
|
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|
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Dahl first attended The Cathedral School, Llandaff. At age eight, he and four of his friends were caned by the headmaster after putting a dead mouse in a jar of gobstoppers at the local sweet shop,[8] which was owned by a "mean and loathsome" old woman named Mrs. Pratchett.[8] The five boys named their prank the "Great Mouse Plot of 1924".[20] Gobstoppers were a favourite sweet among British schoolboys between the two World Wars, and Dahl referred to them in his fictional Everlasting Gobstopper which was featured in Charlie and the Chocolate Factory.[21]
|
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|
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Dahl transferred to St. Peter's boarding school in Weston-super-Mare. His parents had wanted him to be educated at an English public school, and this proved to be the nearest because of the regular ferry link across the Bristol Channel. Dahl's time at St. Peter's was unpleasant; he was very homesick and wrote to his mother every week but never revealed his unhappiness to her. After her death in 1967, he learned that she had saved every one of his letters;[22] they were broadcast in abridged form as BBC Radio 4's Book of the Week in 2016 to mark the centenary of his birth.[23] Dahl wrote about his time at St. Peter's in his autobiography Boy: Tales of Childhood.[24]
|
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|
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From 1929, when he was 13, Dahl attended Repton School in Derbyshire. Dahl disliked the hazing and described an environment of ritual cruelty and status domination, with younger boys having to act as personal servants for older boys, frequently subject to terrible beatings. His biographer Donald Sturrock described these violent experiences in Dahl's early life.[25] Dahl expresses some of these darker experiences in his writings, which is also marked by his hatred of cruelty and corporal punishment.[26]
|
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|
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According to Dahl's autobiography, Boy: Tales of Childhood, a friend named Michael was viciously caned by headmaster Geoffrey Fisher. Writing in that same book, Dahl reflected: “All through my school life I was appalled by the fact that masters and senior boys were allowed literally to wound other boys, and sometimes quite severely... I couldn’t get over it. I never have got over it.”[27] Fisher was later appointed Archbishop of Canterbury, and crowned Queen Elizabeth II in 1953. However, according to Dahl's biographer Jeremy Treglown,[28] the caning took place in May 1933, a year after Fisher had left Repton; the headmaster was in fact J. T. Christie, Fisher's successor as headmaster. Dahl said the incident caused him to "have doubts about religion and even about God".[29]
|
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|
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He was never seen as a particularly talented writer in his school years, with one of his English teachers writing in his school report "I have never met anybody who so persistently writes words meaning the exact opposite of what is intended."[30] Dahl was exceptionally tall, reaching 6 feet 6 inches (1.98 m) in adult life.[31] He played sports including cricket, football and golf, and was made captain of the squash team.[32] As well as having a passion for literature, he developed an interest in photography and often carried a camera with him.[18]
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During his years at Repton, the Cadbury chocolate company occasionally sent boxes of new chocolates to the school to be tested by the pupils.[33] Dahl dreamt of inventing a new chocolate bar that would win the praise of Mr Cadbury himself; this inspired him in writing his third children's book, Charlie and the Chocolate Factory (1964), and to refer to chocolate in other children's books.[34]
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Throughout his childhood and adolescent years, Dahl spent the majority of his summer holidays with his mother's family in Norway. He wrote about many happy memories from those visits in Boy: Tales of Childhood, such as when he replaced the tobacco in his half-sister's fiancé's pipe with goat droppings.[35] He noted only one unhappy memory of his holidays in Norway: at around the age of eight, he had to have his adenoids removed by a doctor.[36] His childhood and first job selling kerosene in Midsomer Norton and surrounding villages in Somerset are subjects in Boy: Tales of Childhood.[37]
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After finishing his schooling, in August 1934 Dahl crossed the Atlantic on the RMS Nova Scotia and hiked through Newfoundland with the Public Schools Exploring Society.[38][39]
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In July 1934, Dahl joined the Shell Petroleum Company. Following two years of training in the United Kingdom, he was assigned first to Mombasa, Kenya, then to Dar-es-Salaam, Tanganyika (now part of Tanzania). Along with the only two other Shell employees in the entire territory, he lived in luxury in the Shell House outside Dar es Salaam, with a cook and personal servants. While out on assignments supplying oil to customers across Tanganyika, he encountered black mamba snakes and lions, among other wildlife.[29]
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In August 1939, as the Second World War loomed, the British made plans to round up the hundreds of Germans living in Dar-es-Salaam. Dahl was commissioned as a lieutenant into the King's African Rifles, commanding a platoon of Askari men, indigenous troops who were serving in the colonial army.[40]
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In November 1939, Dahl joined the Royal Air Force as an aircraftman with service number 774022.[41] After a 600-mile (970 km) car journey from Dar es Salaam to Nairobi, he was accepted for flight training with sixteen other men, of whom only three survived the war. With seven hours and 40 minutes experience in a De Havilland Tiger Moth, he flew solo;[42] Dahl enjoyed watching the wildlife of Kenya during his flights. He continued to advanced flying training in Iraq, at RAF Habbaniya, 50 miles (80 km) west of Baghdad. Following six months' training on Hawker Harts, Dahl was commissioned as a pilot officer on 24 August 1940, and was judged ready to join a squadron and face the enemy.[41][43]
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He was assigned to No. 80 Squadron RAF, flying obsolete Gloster Gladiators, the last biplane fighter aircraft used by the RAF. Dahl was surprised to find that he would not receive any specialised training in aerial combat, or in flying Gladiators. On 19 September 1940, Dahl was ordered to fly his Gladiator by stages from Abu Sueir (near Ismailia, in Egypt) to 80 Squadron's forward airstrip 30 miles (48 km) south of Mersa Matruh. On the final leg he could not find the airstrip and, running low on fuel and with night approaching, he was forced to attempt a landing in the desert.[44] The undercarriage hit a boulder and the aircraft crashed. Dahl's skull was fractured and his nose was smashed; he was temporarily blinded.[45] He managed to drag himself away from the blazing wreckage and passed out. He wrote about the crash in his first published work.[45]
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Dahl was rescued and taken to a first-aid post in Mersa Matruh, where he regained consciousness, but not his sight. He was transported by train to the Royal Navy hospital in Alexandria. There he fell in and out of love with a nurse, Mary Welland. A RAF inquiry into the crash revealed that the location to which he had been told to fly was completely wrong, and he had mistakenly been sent instead to the no man's land between the Allied and Italian forces.[46]
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In February 1941, Dahl was discharged from the hospital and deemed fully fit for flying duties. By this time, 80 Squadron had been transferred to the Greek campaign and based at Eleusina, near Athens. The squadron was now equipped with Hawker Hurricanes. Dahl flew a replacement Hurricane across the Mediterranean Sea in April 1941, after seven hours' experience flying Hurricanes. By this stage in the Greek campaign, the RAF had only 18 combat aircraft in Greece: 14 Hurricanes and four Bristol Blenheim light bombers. Dahl flew in his first aerial combat on 15 April 1941, while flying alone over the city of Chalcis. He attacked six Junkers Ju 88s that were bombing ships and shot one down. On 16 April in another air battle, he shot down another Ju 88.[47]
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On 20 April 1941, Dahl took part in the Battle of Athens, alongside the highest-scoring British Commonwealth ace of World War II, Pat Pattle, and Dahl's friend David Coke. Of 12 Hurricanes involved, five were shot down and four of their pilots killed, including Pattle. Greek observers on the ground counted 22 German aircraft downed, but because of the confusion of the aerial engagement, none of the pilots knew which aircraft they had shot down. Dahl described it as "an endless blur of enemy fighters whizzing towards me from every side".[48][49]
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In May, as the Germans were pressing on Athens, Dahl was evacuated to Egypt. His squadron was reassembled in Haifa. From there, Dahl flew sorties every day for a period of four weeks, shooting down a Vichy French Air Force Potez 63 on 8 June and another Ju 88 on 15 June, but he began to get severe headaches that caused him to black out. He was invalided home to Britain where he stayed with his mother in Buckinghamshire.[50] Though at this time Dahl was only a pilot officer on probation, in September 1941 he was simultaneously confirmed as a pilot officer and promoted to war substantive flying officer.[51]
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After being invalided home, Dahl was posted to an RAF training camp in Uxbridge. He attempted to recover his health enough to become an instructor.[52] In late March 1942, while in London, he met the Under-Secretary of State for Air, Major Harold Balfour, at his club. Impressed by Dahl's war record and conversational abilities, Balfour appointed the young man as assistant air attaché at the British Embassy in Washington, D.C. Initially resistant, Dahl was finally persuaded by Balfour to accept, and took passage on the MS Batory from Glasgow a few days later. He arrived in Halifax, Canada, on 14 April, after which he took a sleeper train to Montreal.[53]
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Coming from war-starved Britain (in what was a wartime period of rationing in the United Kingdom), Dahl was amazed by the wealth of food and amenities to be had in North America.[54] Arriving in Washington a week later, Dahl found he liked the atmosphere of the US capital. He shared a house with another attaché at 1610 34th Street, NW, in Georgetown. But after ten days in his new posting, Dahl strongly disliked it, feeling he had taken on "a most ungodly unimportant job".[55] He later explained, "I'd just come from the war. People were getting killed. I had been flying around, seeing horrible things. Now, almost instantly, I found myself in the middle of a pre-war cocktail party in America."[56]
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Dahl was unimpressed by his office in the British Air Mission, attached to the embassy. He was also unimpressed by the ambassador, Lord Halifax, with whom he sometimes played tennis and whom he described as "a courtly English gentleman". Dahl socialized with Charles E. Marsh, a Texas publisher and oilman, at his house at 2136 R Street, NW, and the Marsh country estate in Virginia.[46][57] As part of his duties as assistant air attaché, Dahl was to help neutralise the isolationist views still held by many Americans by giving pro-British speeches and discussing his war service; the United States had entered the war only the previous December, following the attack on Pearl Harbor.[58]
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At this time Dahl met the noted British novelist C. S. Forester, who was also working to aid the British war effort. Forester worked for the British Ministry of Information and was writing propaganda for the Allied cause, mainly for American consumption.[59] The Saturday Evening Post had asked Forester to write a story based on Dahl's flying experiences; Forester asked Dahl to write down some RAF anecdotes so that he could shape them into a story. After Forester read what Dahl had given him, he decided to publish the story exactly as Dahl had written it.[60] He originally titled the article as "A Piece of Cake" but the magazine changed it to "Shot Down Over Libya" to make it sound more dramatic, although Dahl had not been shot down; it was published on 1 August 1942 issue of the Post. Dahl was promoted to flight lieutenant (war-substantive) in August 1942.[61] Later he worked with such other well-known British officers as Ian Fleming (who later published the popular James Bond series) and David Ogilvy, promoting Britain's interests and message in the US and combating the "America First" movement.[58]
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This work introduced Dahl to espionage and the activities of the Canadian spymaster William Stephenson, known by the codename "Intrepid".[62] During the war, Dahl supplied intelligence from Washington to Prime Minister Winston Churchill. As Dahl later said: "My job was to try to help Winston to get on with FDR, and tell Winston what was in the old boy's mind."[60] Dahl also supplied intelligence to Stephenson and his organisation, known as British Security Coordination, which was part of MI6.[57] Dahl was once sent back to Britain by British Embassy officials, supposedly for misconduct—"I got booted out by the big boys," he said. Stephenson promptly sent him back to Washington—with a promotion to wing commander rank.[63] Toward the end of the war, Dahl wrote some of the history of the secret organisation; he and Stephenson remained friends for decades after the war.[64]
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Upon the war's conclusion, Dahl held the rank of a temporary wing commander (substantive flight lieutenant). Owing to the severity of his injuries from the 1940 accident, he was pronounced unfit for further service and was invalided out of the RAF in August 1946. He left the service with the substantive rank of squadron leader.[65] His record of five aerial victories, qualifying him as a flying ace, has been confirmed by post-war research and cross-referenced in Axis records. It is most likely that he scored more than those victories during 20 April 1941, when 22 German aircraft were shot down.[66]
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Dahl married American actress Patricia Neal on 2 July 1953 at Trinity Church in New York City. Their marriage lasted for 30 years and they had five children:
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On 5 December 1960, four-month-old Theo Dahl was severely injured when his baby carriage was struck by a taxicab in New York City. For a time, he suffered from hydrocephalus. As a result, his father became involved in the development of what became known as the "Wade-Dahl-Till" (or WDT) valve, a device to improve the shunt used to alleviate the condition.[69][70] The valve was a collaboration between Dahl, hydraulic engineer Stanley Wade, and London's Great Ormond Street Hospital neurosurgeon Kenneth Till, and was used successfully on almost 3,000 children around the world.[71]
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In November 1962, Dahl's daughter Olivia died of measles encephalitis, age seven. Her death left Dahl "limp with despair", and feeling guilty about not having been able to do anything for her.[71] Dahl subsequently became a proponent of immunisation and dedicated his 1982 book The BFG to his daughter.[72][73] After Olivia's death and a meeting with a Church official, Dahl came to view Christianity as a sham.[74] While mourning her loss, he had sought spiritual guidance from Geoffrey Fisher, the former Archbishop of Canterbury. He was dismayed by Fisher telling him that, although Olivia was in Paradise, her beloved dog Rowley would never join her there.[74] Dahl recalled years later: “I wanted to ask him how he could be so absolutely sure that other creatures did not get the same special treatment as us. I sat there wondering if this great and famous churchman really knew what he was talking about and whether he knew anything at all about God or heaven, and if he didn't, then who in the world did?[74]
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In 1965, his wife Patricia Neal suffered three burst cerebral aneurysms while pregnant with their fifth child, Lucy. Dahl took control of her rehabilitation over the next months; Neal had to re-learn to talk and walk, but she managed to return to her acting career.[75] This period of their lives was dramatised in the film The Patricia Neal Story (1981), in which the couple were played by Glenda Jackson and Dirk Bogarde.[76]
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In 1972 Roald Dahl met Felicity d'Abreu Crosland, niece of Francis D'Abreu who was married to Margaret Ann Bowes Lyon, the first cousin of the Queen Mother, while Felicity was working as a set designer on an advert for Maxim coffee with the author's then wife, Patricia Neal.[citation needed] Soon after the pair were introduced, they began an 11-year affair[citation needed] before in 1983 Neal and Dahl divorced and Dahl married Felicity,[77] at Brixton Town Hall, South London. Felicity (known as Liccy) gave up her job and moved into Gipsy House, Great Missenden in Buckinghamshire, which had been Dahl's home since 1954.[78]
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In the 1986 New Years Honours List, Dahl was offered an appointment to Officer of the Order of the British Empire (OBE), but turned it down. He reportedly wanted a knighthood so that his wife would be Lady Dahl.[79][80] In 2012, Dahl was featured in the list of The New Elizabethans to mark the diamond Jubilee of Queen Elizabeth II. A panel of seven academics, journalists and historians named Dahl among the group of people in the UK "whose actions during the reign of Elizabeth II have had a significant impact on lives in these islands and given the age its character".[81] In September 2016, his daughter Lucy received the BBC's Blue Peter Gold badge in his honour, the first time it has ever been awarded posthumously.[82]
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Dahl reviewed Tony Clifton's God Cried, a picture book about the siege of West Beirut by the Israeli army during the 1982 Lebanon War.[83] The article appeared in the August 1983 issue of the Literary Review and was the subject of much media comment at the time.[84][85] According to Dahl, until this point in time "a race of people", meaning Jews, had never "switched so rapidly from victims to barbarous murderers." The empathy of all after the Holocaust had turned "into hatred and revulsion."[86] Dahl wrote that Clifton's book would make readers "violently anti-Israeli", stating: "I am not anti-Semitic. I am anti-Israel."[87] However, he also said America was "so utterly dominated by the great Jewish financial institutions" that "they dare not defy" Israelis.[86] Dahl's phraseology in his original copy had been altered by the editor of the Literary Review who substituted "Israel" for "Jews" and "Israeli" for "Jewish".[88]
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Dahl told a reporter in 1983: "There's a trait in the Jewish character that does provoke animosity, maybe it's a kind of lack of generosity towards non-Jews. I mean there is always a reason why anti-anything crops up anywhere; even a stinker like Hitler didn't just pick on them for no reason."[87] In 1990, during an interview with The Independent, Dahl explained that his issue with Israel began when they invaded Lebanon in 1982: "they killed 22,000 civilians when they bombed Beirut. It was very much hushed up in the newspapers because they are primarily Jewish-owned. I'm certainly anti-Israeli and I've become antisemitic in as much as that you get a Jewish person in another country like England strongly supporting Zionism."[89] As a result of these views, in 2014 the Royal Mint decided not to produce a coin to commemorate the centenary of Dahl's birth because he was considered to be "associated with antisemitism and not regarded as an author of the highest reputation".[89] Dahl had Jewish friends, including philosopher Sir Isaiah Berlin, who commented: "I thought he might say anything. Could have been pro-Arab or pro-Jew. There was no consistent line. He was a man who followed whims, which meant he would blow up in one direction, so to speak."[87] Amelia Foster, director of the Roald Dahl Museum in Great Missenden, says: "This is again an example of how Dahl refused to take anything seriously, even himself. He was very angry at the Israelis. He had a childish reaction to what was going on in Israel. Dahl wanted to provoke, as he always provoked at dinner. His publisher was a Jew, his agent was a Jew... and he thought nothing but good things of them. He asked me to be his managing director, and I'm Jewish."[90]
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Jeremy Treglown, in his 1994 biography, writes of Dahl's first novel Sometime Never (1948): "plentiful revelations about Nazi anti-Semitism and the Holocaust did not discourage him from satirizing 'a little pawnbroker in Hounsditch called Meatbein who, when the wailing started, would rush downstairs to the large safe in which he kept his money, open it and wriggle inside on to the lowest shelf where he lay like a hibernating hedgehog until the all-clear had gone.'"[91] In a short story entitled "Madame Rosette", the eponymous character is termed "a filthy old Syrian Jewess".[91]
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Dahl's first published work, inspired by a meeting with C. S. Forester, was "A Piece of Cake", on 1 August 1942. The story, about his wartime adventures, was bought by The Saturday Evening Post for US$1,000 (a substantial sum in 1942) and published under the title "Shot Down Over Libya".[92]
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His first children's book was The Gremlins, published in 1943, about mischievous little creatures that were part of Royal Air Force folklore.[93] The RAF pilots blamed the gremlins for all the problems with the aircraft.[94] While at the British Embassy in Washington, Dahl sent a copy to the First Lady Eleanor Roosevelt who read it to her grandchildren,[93] and the book was commissioned by Walt Disney for a film that was never made.[95] Dahl went on to write some of the best-loved children's stories of the 20th century, such as Charlie and the Chocolate Factory, Matilda, James and the Giant Peach, The Witches, Fantastic Mr Fox, The BFG, The Twits and George's Marvellous Medicine.[8]
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Dahl also had a successful parallel career as the writer of macabre adult short stories, which often blended humour and innocence with surprising plot twists.[96] The Mystery Writers of America presented Dahl with three Edgar Awards for his work, and many were originally written for American magazines such as Collier's ("The Collector's Item" was Collier's Star Story of the week for 4 September 1948), Ladies Home Journal, Harper's, Playboy and The New Yorker.[97] Works such as Kiss Kiss subsequently collected Dahl's stories into anthologies, and gained significant popularity. Dahl wrote more than 60 short stories; they have appeared in numerous collections, some only being published in book form after his death. His three Edgar Awards were given for: in 1954, the collection Someone Like You; in 1959, the story "The Landlady"; and in 1980, the episode of Tales of the Unexpected based on "Skin".[96]
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One of his more famous adult stories, "The Smoker", also known as "Man from the South", was filmed twice as both 1960 and 1985 episodes of Alfred Hitchcock Presents, filmed as a 1979 episode of Tales Of The Unexpected, and also adapted into Quentin Tarantino's segment of the film Four Rooms (1995).[98] This oft-anthologised classic concerns a man in Jamaica who wagers with visitors in an attempt to claim the fingers from their hands. The original 1960 version in the Hitchcock series stars Steve McQueen and Peter Lorre.[98] Five additional Dahl stories were used in the Hitchcock series. Dahl was credited with teleplay for two episodes, and four of his episodes were directed by Hitchcock himself, an example of which was "Lamb to the Slaughter" (1958).
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Dahl acquired a traditional Romanichal vardo in the 1960s, and the family used it as a playhouse for his children at home in Great Missenden, Buckinghamshire. He later used the vardo as a writing room, where he wrote Danny, the Champion of the World in 1975.[99] Dahl incorporated a Gypsy wagon into the main plot of the book, where the young English boy, Danny, and his father, William (played by Jeremy Irons in the film adaptation) live in a vardo.[100] Many other scenes and characters from Great Missenden are reflected in his work. For example, the village library was the inspiration for Mrs Phelps' library in Matilda, where the title character devours classic literature by the age of four.[101]
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His short story collection Tales of the Unexpected was adapted to a successful TV series of the same name, beginning with "Man from the South".[102] When the stock of Dahl's own original stories was exhausted, the series continued by adapting stories written in Dahl's style by other authors, including John Collier and Stanley Ellin.[103]
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Some of Dahl's short stories are supposed to be extracts from the diary of his (fictional) Uncle Oswald, a rich gentleman whose sexual exploits form the subject of these stories.[104] In his novel My Uncle Oswald, the uncle engages a temptress to seduce 20th century geniuses and royalty with a love potion secretly added to chocolate truffles made by Dahl's favourite chocolate shop, Prestat of Piccadilly, London.[104] Memories with Food at Gipsy House, written with his wife Felicity and published posthumously in 1991, was a mixture of recipes, family reminiscences and Dahl's musings on favourite subjects such as chocolate, onions and claret.[105][106]
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The last book published in his lifetime, Esio Trot, released in January 1990, marked a change in style for the author. Unlike other Dahl works (which often feature tyrannical adults and heroic/magical children), it is the story of an old, lonely man trying to make a connection with a woman he has loved from afar.[107] In 1994, the English language audiobook recording of the book was provided by Monty Python member Michael Palin.[108] In 2015 it was adapted by screenwriter Richard Curtis into an acclaimed BBC comedy television film, Roald Dahl's Esio Trot, featuring Dustin Hoffman and Judi Dench as the couple.[109]
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—Illustrator Quentin Blake on the lasting appeal of Dahl's children's books.[8]
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Dahl's children's works are usually told from the point of view of a child. They typically involve adult villains who hate and mistreat children, and feature at least one "good" adult to counteract the villain(s).[8] These stock characters are possibly a reference to the abuse that Dahl stated that he experienced in the boarding schools he attended.[8] Dahl's books see the triumph of the child; children's book critic Amanda Craig said, "He was unequivocal that it is the good, young and kind who triumph over the old, greedy and the wicked."[13] Anna Leskiewicz in The Telegraph wrote "It's often suggested that Dahl's lasting appeal is a result of his exceptional talent for wriggling his way into children’s fantasies and fears, and laying them out on the page with anarchic delight. Adult villains are drawn in terrifying detail, before they are exposed as liars and hypocrites, and brought tumbling down with retributive justice, either by a sudden magic or the superior acuity of the children they mistreat."[107]
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While his whimsical fantasy stories feature an underlying warm sentiment, they are often juxtaposed with grotesque, darkly comic and sometimes harshly violent scenarios.[10][12] The Witches, George's Marvellous Medicine and Matilda are examples of this formula. The BFG follows, with the good giant (the BFG or "Big Friendly Giant") representing the "good adult" archetype and the other giants being the "bad adults". This formula is also somewhat evident in Dahl's film script for Chitty Chitty Bang Bang. Class-conscious themes also surface in works such as Fantastic Mr Fox and Danny, the Champion of the World where the unpleasant wealthy neighbours are outwitted.[60][110]
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Dahl also features characters who are very fat, usually children. Augustus Gloop, Bruce Bogtrotter and Bruno Jenkins are a few of these characters, although an enormous woman named Aunt Sponge features in James and the Giant Peach and the nasty farmer Boggis in Fantastic Mr Fox is an enormously fat character. All of these characters (with the possible exception of Bruce Bogtrotter) are either villains or simply unpleasant gluttons. They are usually punished for this: Augustus Gloop drinks from Willy Wonka's chocolate river, disregarding the adults who tell him not to, and falls in, getting sucked up a pipe and nearly being turned into fudge. In Matilda, Bruce Bogtrotter steals cake from the evil headmistress, Miss Trunchbull, and is forced to eat a gigantic chocolate cake in front of the school. In The Witches, Bruno Jenkins is lured by the witches (whose leader is the Grand High Witch) into their convention with the promise of chocolate, before they turn him into a mouse.[111] Aunt Sponge is flattened by a giant peach. When Dahl was a boy his mother used to tell him and his sisters tales about trolls and other mythical Norwegian creatures, and some of his children's books contain references or elements inspired by these stories, such as the giants in The BFG, the fox family in Fantastic Mr Fox and the trolls in The Minpins.[112]
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Receiving the 1983 World Fantasy Award for Life Achievement, Dahl encouraged his children and his readers to let their imagination run free. His daughter Lucy stated "his spirit was so large and so big he taught us to believe in magic."[60]
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Those who don't believe in magic will never find it.
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Dahl was also famous for his inventive, playful use of language, which was a key element to his writing. He invented new words by scribbling down his words before swapping letters around and adopting spoonerisms and malapropisms.[113] The lexicographer Susan Rennie stated that Dahl built his new words on familiar sounds, adding:
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He didn't always explain what his words meant, but children can work them out because they often sound like a word they know, and he loved using onomatopoeia. For example, you know that something lickswishy and delumptious is good to eat, whereas something uckyslush or rotsome is definitely not! He also used sounds that children love to say, like squishous and squizzle, or fizzlecrump and fizzwiggler.[113]
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A UK television special titled Roald Dahl's Revolting Rule Book which was hosted by Richard E. Grant and aired on 22 September 2007, commemorated Dahl's 90th birthday and also celebrated his impact as a children's author in popular culture.[114] It also featured eight main rules he applied on all his children's books:
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In 2016, marking the centenary of Dahl's birth, Rennie compiled The Oxford Roald Dahl Dictionary which includes many of his invented words and their meaning.[113] Rennie commented that some of Dahl's words have already escaped his world, for example, Scrumdiddlyumptious: "Food that is utterly delicious".[113] In his poetry, Dahl gives a humourous re-interpretation of well-known nursery rhymes and fairy tales, providing surprise endings in place of the traditional happily-ever-after. Dahl's collection of poems Revolting Rhymes is recorded in audiobook form, and narrated by actor Alan Cumming.[115]
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For a brief period in the 1960s, Dahl wrote screenplays. Two, the James Bond film You Only Live Twice and Chitty Chitty Bang Bang, were adaptations of novels by Ian Fleming.[116] Dahl also began adapting his own novel Charlie and the Chocolate Factory, which was completed and rewritten by David Seltzer after Dahl failed to meet deadlines, and produced as the film Willy Wonka & the Chocolate Factory (1971). Dahl later disowned the film, saying he was "disappointed" because "he thought it placed too much emphasis on Willy Wonka and not enough on Charlie".[117] He was also "infuriated" by the deviations in the plot devised by David Seltzer in his draft of the screenplay. This resulted in his refusal for any more versions of the book to be made in his lifetime, as well as an adaptation for the sequel Charlie and the Great Glass Elevator.[118]
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A major part of Dahl's literary influences stemmed from his childhood. In his younger days, he was an avid reader, especially awed by fantastic tales of heroism and triumph. Amongst his favourite authors were Rudyard Kipling, Charles Dickens, William Makepeace Thackeray and Frederick Marryat, and their works made a lasting mark on his life and writing.[119] Joe Sommerlad in The Independent writes, “Dahl’s novels are often dark affairs, filled with cruelty, bereavement and Dickensian adults prone to gluttony and sadism. The author clearly felt compelled to warn his young readers about the evils of the world, taking the lesson from earlier fairy tales that they could stand hard truths and would be the stronger for hearing them.”[120]
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Dahl was also influenced by Lewis Carroll’s Alice's Adventures in Wonderland. The “Drink Me” episode in Alice inspired a scene in Dahl's George's Marvellous Medicine where a tyrannical grandmother drinks a potion and is blown up to the size of a farmhouse.[120] Finding too many distractions in his house, Dahl remembered the poet Dylan Thomas had found a peaceful shed to write in close to home. Dahl travelled to visit Thomas's hut in Carmarthenshire, Wales in the 1950s and, after taking a look inside, decided to make a replica of it to write in.[121]
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Dahl liked ghost stories, and claimed that Trolls by Jonas Lie was one of the finest ghost stories ever written. While he was still a youngster, his mother, Sofie Dahl, related traditional Norwegian myths and legends from her native homeland to Dahl and his sisters. Dahl always maintained that his mother and her stories had a strong influence on his writing. In one interview, he mentioned: "She was a great teller of tales. Her memory was prodigious and nothing that ever happened to her in her life was forgotten."[122] When Dahl started writing and publishing his famous books for children, he included a grandmother character in The Witches, and later said that she was based directly on his own mother as a tribute.[123][124]
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In 1961, Dahl hosted and wrote for a science fiction and horror television anthology series called Way Out, which preceded the Twilight Zone series on the CBS network for 14 episodes from March to July.[125] One of the last dramatic network shows shot in New York City, the entire series is available for viewing at The Paley Center for Media in New York City and Los Angeles.[126] He also wrote for the satirical BBC comedy programme That Was the Week That Was, which was hosted by David Frost.[127]
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+
The British television series, Tales of the Unexpected, originally aired on ITV between 1979 and 1988.[128] The series was released to tie in with Dahl's short story anthology of the same name, which had introduced readers to many motifs that were common in his writing.[102] The series was an anthology of different tales, initially based on Dahl's short stories.[102] The stories were sometimes sinister, sometimes wryly comedic and usually had a twist ending. Dahl introduced on camera all the episodes of the first two series, which bore the full title Roald Dahl's Tales of the Unexpected.[129]
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Roald Dahl died on 23 November 1990, at the age of 74 of a rare cancer of the blood, myelodysplastic syndrome, in Oxford,[130] and was buried in the cemetery at the Church of St Peter and St Paul, Great Missenden, Buckinghamshire, England. According to his granddaughter, the family gave him a "sort of Viking funeral". He was buried with his snooker cues, some very good burgundy, chocolates, HB pencils and a power saw. Today, children continue to leave toys and flowers by his grave.[131] In November 1996, the Roald Dahl Children's Gallery was opened at the Buckinghamshire County Museum in nearby Aylesbury.[132] The main-belt asteroid 6223 Dahl, discovered by Czech astronomer Antonín Mrkos, was named in his memory in 1996.[133][134]
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|
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+
In 2002, one of Cardiff Bay's modern landmarks, the Oval Basin plaza, was renamed Roald Dahl Plass. Plass is Norwegian for "place" or "square", alluding to the writer's Norwegian roots. There have also been calls from the public for a permanent statue of him to be erected in Cardiff.[135] In 2016, the city celebrated the centenary of Dahl's birth in Llandaff. Welsh Arts organisations, including National Theatre Wales, Wales Millennium Centre and Literature Wales, came together for a series of events, titled Roald Dahl 100, including a Cardiff-wide City of the Unexpected, which marked his legacy.[6]
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|
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Dahl's charitable commitments in the fields of neurology, haematology and literacy during his life have been continued by his widow since his death, through Roald Dahl's Marvellous Children's Charity, formerly known as the Roald Dahl Foundation.[105] The charity provides care and support to seriously ill children and young people throughout the UK.[136] In June 2005, the Roald Dahl Museum and Story Centre in the author's home village Great Missenden was officially opened by Cherie Blair, wife of UK Prime Minister Tony Blair, to celebrate the work of Roald Dahl and advance his work in literacy education.[137] Over 50,000 visitors from abroad, mainly from Australia, Japan, the United States and Germany, travel to the village museum every year.[138]
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+
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+
In 2008, the UK charity Booktrust and Children's Laureate Michael Rosen inaugurated The Roald Dahl Funny Prize, an annual award to authors of humourous children's fiction.[139][140] On 14 September 2009 (the day after what would have been Dahl's 93rd birthday) the first blue plaque in his honour was unveiled in Llandaff.[141] Rather than commemorating his place of birth, however, the plaque was erected on the wall of the former sweet shop (and site of "The Great Mouse Plot of 1924") that features in the first part of his autobiography Boy. It was unveiled by his widow Felicity and son Theo.[141] In 2018, Weston-super-Mare, the town described by Dahl as a "seedy seaside resort", unveiled a blue plaque dedicated to him, on the site of the since-demolished boarding school Dahl attended, St Peter's.[142] The anniversary of Dahl's birthday on 13 September is celebrated as "Roald Dahl Day" in Africa, the United Kingdom and Latin America.[143][144][145]
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+
In honour of Dahl, the Royal Gibraltar Post Office issued a set of four stamps in 2010 featuring Quentin Blake's original illustrations for four of the children's books written by Dahl during his long career; The BFG, The Twits, Charlie and the Chocolate Factory, and Matilda.[146] A set of six stamps was issued by Royal Mail in 2012, featuring Blake's illustrations for Charlie and the Chocolate Factory, The Twits, The Witches, Matilda, Fantastic Mr Fox, and James and the Giant Peach.[147] Dahl's influence has extended beyond literary figures. For instance film director Tim Burton recalled from childhood "the second layer [after Dr. Seuss] of connecting to a writer who gets the idea of the modern fable – and the mixture of light and darkness, and not speaking down to kids, and the kind of politically incorrect humour that kids get. I've always like that, and it's shaped everything I've felt that I've done."[148] Steven Spielberg read The BFG to his children when they were young, stating the book celebrates the fact that it's OK to be different as well as to have an active imagination: "It's very important that we preserve the tradition of allowing young children to run free with their imaginations and magic and imagination are the same thing."[149] Actress Scarlett Johansson named Fantastic Mr Fox one of the five books that made a difference to her.[150]
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+
Dahl has an incredibly distinctive style: his subversive, unpredictable plots, musical prose and caustic wit are impossible to imitate. And yet his stories have proved astonishingly malleable. Often adapted by equally idiosyncratic writers and directors, when translated onto stage and screen, his works seamlessly take on the impression of their new maker. Like in many of his stories, Dahl offers a narrative where troublemaking is rewarded, and games and tricks are more successful than following rules. Perhaps this, more than anything, is the reason why Dahl’s stories excite the imagination of so many adults and children, and why so many storytellers across stage and screen can’t resist remaking his tales in their own individual style. Right across his body of work, playfulness and inventiveness are always prized over boring qualities like obedience and deference. In Dahl's world, creative disruption is presented in such an appealing, delicious light, that you can't help but join in the fun.
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+
—"Britain's top ten children's literature superstars". The Independent, 2012.[151]
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+
Regarded as "one of the greatest storytellers for children of the 20th century",[8] Dahl was named by The Times one of the 50 greatest British writers since 1945.[9] He ranks amongst the world's best-selling fiction authors with sales estimated at over 250 million,[5][7][10] and his books have been published in almost 60 languages.[6] In 2003 four books by Dahl, led by Charlie and the Chocolate Factory at number 35, ranked among the Top 100 in The Big Read, a survey of the British public by the BBC to determine the "nation's best-loved novel" of all time.[152] In surveys of UK teachers, parents and students, Dahl is frequently ranked the best children's writer.[153][154] In a 2006 list for the Royal Society of Literature, Harry Potter creator J. K. Rowling named Charlie and the Chocolate Factory one of her top ten books every child should read.[155] In 2012, Matilda was ranked number 30 among all-time best children's novels in a survey published by School Library Journal, a monthly with primarily US audience. The Top 100 included four books by Dahl, more than any other writer: Matilda, Charlie and the Chocolate Factory, The Witches, and The BFG.[156] US magazine Time named three Dahl books in its list of the 100 Best Young-Adult Books of All Time, more than any other author.[157]
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+
In 2012, Dahl was among the British cultural icons selected by artist Sir Peter Blake to appear in a new version of his most famous artwork – the Beatles' Sgt. Pepper's Lonely Hearts Club Band album cover – to celebrate the British cultural figures of his life he most admires.[158][159] In a 2017 UK poll of the greatest authors, songwriters, artists and photographers, Dahl was named the greatest storyteller of all time, ranking ahead of Dickens, Shakespeare, Rowling and Spielberg.[160] In 2017, the airline Norwegian announced Dahl's image would appear on the tail fin one of their Boeing 737-800 aircraft. He is one of the company's six "British tail fin heroes", joining Queen frontman Freddie Mercury, England World Cup winner Bobby Moore, novelist Jane Austen, pioneering pilot Amy Johnson and aviation entrepreneur Freddie Laker.[161][162]
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Robert II (27 March 972 – 20 July 1031), called the Pious (French: le Pieux) or the Wise (French: le Sage), was King of the Franks from 996 to 1031, the second from the House of Capet. He was born in Orléans to Hugh Capet and Adelaide of Aquitaine. Robert distinguished himself with an extraordinarily long reign for the time. His 35-year-long reign was marked by his attempts to expand the royal domain by any means, especially by his long struggle to gain the Duchy of Burgundy. His policies earned him many enemies, including three of his sons. He was also known for his difficult marriages: he married three times, annulling two of these and attempting to annul the third, prevented only by the Pope's refusal to accept a third annulment.
|
4 |
+
|
5 |
+
Immediately after his own coronation, Robert's father Hugh began to push for the coronation of his son. "The essential means by which the early Capetians were seen to have kept the throne in their family was through the association of the eldest surviving son in the royalty during the father's lifetime," Andrew W. Lewis has observed, in tracing the phenomenon in this line of kings who lacked dynastic legitimacy.[2] Hugh's claimed reason was that he was planning an expedition against the Moorish armies harassing Borrel II of Barcelona, an invasion which never occurred, and that the stability of the country necessitated a co-king, should he die while on expedition.[3] Ralph Glaber, however, attributes Hugh's request to his old age and inability to control the nobility.[4] Modern scholarship has largely imputed to Hugh the motive of establishing a dynasty against the claims of electoral power on the part of the aristocracy, but this is not the typical view of contemporaries and even some modern scholars have been less sceptical of Hugh's "plan" to campaign in Spain.[5] Robert was eventually crowned on 25 December 987.[6] A measure of Hugh's success is that when Hugh died in 996, Robert continued to reign without any succession dispute, but during his long reign actual royal power dissipated into the hands of the great territorial magnates.
|
6 |
+
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+
Robert had begun to take on active royal duties with his father in the early 990s. In 991, he helped his father prevent the French bishops from trekking to Mousson in the Kingdom of Germany for a synod called by Pope John XV, with whom Hugh was then in disagreement.
|
8 |
+
|
9 |
+
As early as 989, having been rebuffed in his search for a Byzantine princess,[7] Hugh Capet arranged for Robert to marry Rozala, the recently widowed daughter of Berengar II of Italy, many years his senior, who took the name of Susanna upon becoming queen.[8] She was the widow of Arnulf II of Flanders, with whom she had two children. Robert divorced her within a year of his father's death in 996. He then married Bertha, daughter of Conrad of Burgundy, around the time of his father's death. She was a widow of Odo I of Blois, but was also Robert's second cousin. For reasons of consanguinity, Pope Gregory V refused to sanction the marriage, and Robert was excommunicated.[9] After long negotiations with Gregory's successor, Sylvester II, the marriage was annulled.
|
10 |
+
|
11 |
+
Finally, in 1001, Robert entered into his final and longest-lasting marriage—to Constance of Arles, the daughter of William I of Provence. Her southern customs and entourage were regarded with suspicion at court. After his companion Hugh of Beauvais, count palatine[10], urged the king to repudiate her as well, knights of her kinsman Fulk III, Count of Anjou had Beauvais murdered in 1008. The king and Bertha then went to Rome to ask Pope Sergius IV for an annulment so they could remarry.[11] After this was refused, he went back to Constance and fathered several children by her. Her ambition alienated the chroniclers of her day, who blamed her for several of the king's decisions. Constance and Robert remained married until his death in 1031.
|
12 |
+
|
13 |
+
Robert was a devout Catholic, hence his sobriquet "the Pious." He was musically inclined, being a composer, chorister, and poet, and made his palace a place of religious seclusion where he conducted the matins and vespers in his royal robes. Robert's reputation for piety also resulted from his lack of toleration for heretics, whom he harshly punished. He is said to have advocated forced conversions of local Jewry. He supported riots against the Jews of Orléans who were accused of conspiring to destroy the Church of the Holy Sepulchre in Jerusalem.[12] Furthermore, Robert reinstated the Roman imperial custom of burning heretics at the stake.[13]
|
14 |
+
|
15 |
+
In 1030–1031, Robert confirmed the foundation of Noyers Abbey.[14]
|
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+
|
17 |
+
The kingdom Robert inherited was not large and, in an effort to increase his power, he vigorously pursued his claim to any feudal lands that became vacant, usually resulting in war with a counter-claimant. In 1003, his invasion of the Duchy of Burgundy was thwarted, and it would not be until 1016 that he was finally able to get the support of the Church to be recognized as Duke of Burgundy.
|
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+
|
19 |
+
The pious Robert made few friends and many enemies, including three of his own sons: Hugh, Henry, and Robert. They turned against their father in a civil war over power and property. Hugh died in revolt in 1025. In a conflict with Henry and the younger Robert, King Robert's army was defeated, and he retreated to Beaugency outside Paris, his capital. He died in the middle of the war with his sons on 20 July 1031 at Melun. He was interred with Constance in Saint Denis Basilica and succeeded by his son Henry, in both France and Burgundy.
|
20 |
+
|
21 |
+
Robert had no children from his short-lived marriage to Susanna. His illegal marriage to Bertha gave him one stillborn son in 999, but only Constance gave him surviving children:
|
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+
|
23 |
+
Robert also left an illegitimate son: Rudolph, Bishop of Bourges.
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Robert II (27 March 972 – 20 July 1031), called the Pious (French: le Pieux) or the Wise (French: le Sage), was King of the Franks from 996 to 1031, the second from the House of Capet. He was born in Orléans to Hugh Capet and Adelaide of Aquitaine. Robert distinguished himself with an extraordinarily long reign for the time. His 35-year-long reign was marked by his attempts to expand the royal domain by any means, especially by his long struggle to gain the Duchy of Burgundy. His policies earned him many enemies, including three of his sons. He was also known for his difficult marriages: he married three times, annulling two of these and attempting to annul the third, prevented only by the Pope's refusal to accept a third annulment.
|
4 |
+
|
5 |
+
Immediately after his own coronation, Robert's father Hugh began to push for the coronation of his son. "The essential means by which the early Capetians were seen to have kept the throne in their family was through the association of the eldest surviving son in the royalty during the father's lifetime," Andrew W. Lewis has observed, in tracing the phenomenon in this line of kings who lacked dynastic legitimacy.[2] Hugh's claimed reason was that he was planning an expedition against the Moorish armies harassing Borrel II of Barcelona, an invasion which never occurred, and that the stability of the country necessitated a co-king, should he die while on expedition.[3] Ralph Glaber, however, attributes Hugh's request to his old age and inability to control the nobility.[4] Modern scholarship has largely imputed to Hugh the motive of establishing a dynasty against the claims of electoral power on the part of the aristocracy, but this is not the typical view of contemporaries and even some modern scholars have been less sceptical of Hugh's "plan" to campaign in Spain.[5] Robert was eventually crowned on 25 December 987.[6] A measure of Hugh's success is that when Hugh died in 996, Robert continued to reign without any succession dispute, but during his long reign actual royal power dissipated into the hands of the great territorial magnates.
|
6 |
+
|
7 |
+
Robert had begun to take on active royal duties with his father in the early 990s. In 991, he helped his father prevent the French bishops from trekking to Mousson in the Kingdom of Germany for a synod called by Pope John XV, with whom Hugh was then in disagreement.
|
8 |
+
|
9 |
+
As early as 989, having been rebuffed in his search for a Byzantine princess,[7] Hugh Capet arranged for Robert to marry Rozala, the recently widowed daughter of Berengar II of Italy, many years his senior, who took the name of Susanna upon becoming queen.[8] She was the widow of Arnulf II of Flanders, with whom she had two children. Robert divorced her within a year of his father's death in 996. He then married Bertha, daughter of Conrad of Burgundy, around the time of his father's death. She was a widow of Odo I of Blois, but was also Robert's second cousin. For reasons of consanguinity, Pope Gregory V refused to sanction the marriage, and Robert was excommunicated.[9] After long negotiations with Gregory's successor, Sylvester II, the marriage was annulled.
|
10 |
+
|
11 |
+
Finally, in 1001, Robert entered into his final and longest-lasting marriage—to Constance of Arles, the daughter of William I of Provence. Her southern customs and entourage were regarded with suspicion at court. After his companion Hugh of Beauvais, count palatine[10], urged the king to repudiate her as well, knights of her kinsman Fulk III, Count of Anjou had Beauvais murdered in 1008. The king and Bertha then went to Rome to ask Pope Sergius IV for an annulment so they could remarry.[11] After this was refused, he went back to Constance and fathered several children by her. Her ambition alienated the chroniclers of her day, who blamed her for several of the king's decisions. Constance and Robert remained married until his death in 1031.
|
12 |
+
|
13 |
+
Robert was a devout Catholic, hence his sobriquet "the Pious." He was musically inclined, being a composer, chorister, and poet, and made his palace a place of religious seclusion where he conducted the matins and vespers in his royal robes. Robert's reputation for piety also resulted from his lack of toleration for heretics, whom he harshly punished. He is said to have advocated forced conversions of local Jewry. He supported riots against the Jews of Orléans who were accused of conspiring to destroy the Church of the Holy Sepulchre in Jerusalem.[12] Furthermore, Robert reinstated the Roman imperial custom of burning heretics at the stake.[13]
|
14 |
+
|
15 |
+
In 1030–1031, Robert confirmed the foundation of Noyers Abbey.[14]
|
16 |
+
|
17 |
+
The kingdom Robert inherited was not large and, in an effort to increase his power, he vigorously pursued his claim to any feudal lands that became vacant, usually resulting in war with a counter-claimant. In 1003, his invasion of the Duchy of Burgundy was thwarted, and it would not be until 1016 that he was finally able to get the support of the Church to be recognized as Duke of Burgundy.
|
18 |
+
|
19 |
+
The pious Robert made few friends and many enemies, including three of his own sons: Hugh, Henry, and Robert. They turned against their father in a civil war over power and property. Hugh died in revolt in 1025. In a conflict with Henry and the younger Robert, King Robert's army was defeated, and he retreated to Beaugency outside Paris, his capital. He died in the middle of the war with his sons on 20 July 1031 at Melun. He was interred with Constance in Saint Denis Basilica and succeeded by his son Henry, in both France and Burgundy.
|
20 |
+
|
21 |
+
Robert had no children from his short-lived marriage to Susanna. His illegal marriage to Bertha gave him one stillborn son in 999, but only Constance gave him surviving children:
|
22 |
+
|
23 |
+
Robert also left an illegitimate son: Rudolph, Bishop of Bourges.
|
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Robert II (27 March 972 – 20 July 1031), called the Pious (French: le Pieux) or the Wise (French: le Sage), was King of the Franks from 996 to 1031, the second from the House of Capet. He was born in Orléans to Hugh Capet and Adelaide of Aquitaine. Robert distinguished himself with an extraordinarily long reign for the time. His 35-year-long reign was marked by his attempts to expand the royal domain by any means, especially by his long struggle to gain the Duchy of Burgundy. His policies earned him many enemies, including three of his sons. He was also known for his difficult marriages: he married three times, annulling two of these and attempting to annul the third, prevented only by the Pope's refusal to accept a third annulment.
|
4 |
+
|
5 |
+
Immediately after his own coronation, Robert's father Hugh began to push for the coronation of his son. "The essential means by which the early Capetians were seen to have kept the throne in their family was through the association of the eldest surviving son in the royalty during the father's lifetime," Andrew W. Lewis has observed, in tracing the phenomenon in this line of kings who lacked dynastic legitimacy.[2] Hugh's claimed reason was that he was planning an expedition against the Moorish armies harassing Borrel II of Barcelona, an invasion which never occurred, and that the stability of the country necessitated a co-king, should he die while on expedition.[3] Ralph Glaber, however, attributes Hugh's request to his old age and inability to control the nobility.[4] Modern scholarship has largely imputed to Hugh the motive of establishing a dynasty against the claims of electoral power on the part of the aristocracy, but this is not the typical view of contemporaries and even some modern scholars have been less sceptical of Hugh's "plan" to campaign in Spain.[5] Robert was eventually crowned on 25 December 987.[6] A measure of Hugh's success is that when Hugh died in 996, Robert continued to reign without any succession dispute, but during his long reign actual royal power dissipated into the hands of the great territorial magnates.
|
6 |
+
|
7 |
+
Robert had begun to take on active royal duties with his father in the early 990s. In 991, he helped his father prevent the French bishops from trekking to Mousson in the Kingdom of Germany for a synod called by Pope John XV, with whom Hugh was then in disagreement.
|
8 |
+
|
9 |
+
As early as 989, having been rebuffed in his search for a Byzantine princess,[7] Hugh Capet arranged for Robert to marry Rozala, the recently widowed daughter of Berengar II of Italy, many years his senior, who took the name of Susanna upon becoming queen.[8] She was the widow of Arnulf II of Flanders, with whom she had two children. Robert divorced her within a year of his father's death in 996. He then married Bertha, daughter of Conrad of Burgundy, around the time of his father's death. She was a widow of Odo I of Blois, but was also Robert's second cousin. For reasons of consanguinity, Pope Gregory V refused to sanction the marriage, and Robert was excommunicated.[9] After long negotiations with Gregory's successor, Sylvester II, the marriage was annulled.
|
10 |
+
|
11 |
+
Finally, in 1001, Robert entered into his final and longest-lasting marriage—to Constance of Arles, the daughter of William I of Provence. Her southern customs and entourage were regarded with suspicion at court. After his companion Hugh of Beauvais, count palatine[10], urged the king to repudiate her as well, knights of her kinsman Fulk III, Count of Anjou had Beauvais murdered in 1008. The king and Bertha then went to Rome to ask Pope Sergius IV for an annulment so they could remarry.[11] After this was refused, he went back to Constance and fathered several children by her. Her ambition alienated the chroniclers of her day, who blamed her for several of the king's decisions. Constance and Robert remained married until his death in 1031.
|
12 |
+
|
13 |
+
Robert was a devout Catholic, hence his sobriquet "the Pious." He was musically inclined, being a composer, chorister, and poet, and made his palace a place of religious seclusion where he conducted the matins and vespers in his royal robes. Robert's reputation for piety also resulted from his lack of toleration for heretics, whom he harshly punished. He is said to have advocated forced conversions of local Jewry. He supported riots against the Jews of Orléans who were accused of conspiring to destroy the Church of the Holy Sepulchre in Jerusalem.[12] Furthermore, Robert reinstated the Roman imperial custom of burning heretics at the stake.[13]
|
14 |
+
|
15 |
+
In 1030–1031, Robert confirmed the foundation of Noyers Abbey.[14]
|
16 |
+
|
17 |
+
The kingdom Robert inherited was not large and, in an effort to increase his power, he vigorously pursued his claim to any feudal lands that became vacant, usually resulting in war with a counter-claimant. In 1003, his invasion of the Duchy of Burgundy was thwarted, and it would not be until 1016 that he was finally able to get the support of the Church to be recognized as Duke of Burgundy.
|
18 |
+
|
19 |
+
The pious Robert made few friends and many enemies, including three of his own sons: Hugh, Henry, and Robert. They turned against their father in a civil war over power and property. Hugh died in revolt in 1025. In a conflict with Henry and the younger Robert, King Robert's army was defeated, and he retreated to Beaugency outside Paris, his capital. He died in the middle of the war with his sons on 20 July 1031 at Melun. He was interred with Constance in Saint Denis Basilica and succeeded by his son Henry, in both France and Burgundy.
|
20 |
+
|
21 |
+
Robert had no children from his short-lived marriage to Susanna. His illegal marriage to Bertha gave him one stillborn son in 999, but only Constance gave him surviving children:
|
22 |
+
|
23 |
+
Robert also left an illegitimate son: Rudolph, Bishop of Bourges.
|
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Bacteria (/bækˈtɪəriə/ (listen); common noun bacteria, singular bacterium) are a type of biological cell. They constitute a large domain of prokaryotic microorganisms. Typically a few micrometres in length, bacteria have a number of shapes, ranging from spheres to rods and spirals. Bacteria were among the first life forms to appear on Earth, and are present in most of its habitats. Bacteria inhabit soil, water, acidic hot springs, radioactive waste,[4] and the deep biosphere of the earth's crust. Bacteria also live in symbiotic and parasitic relationships with plants and animals. Most bacteria have not been characterised, and only about 27 percent of the bacterial phyla have species that can be grown in the laboratory.[5] The study of bacteria is known as bacteriology, a branch of microbiology.
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Nearly all animal life is dependent on bacteria for survival as only bacteria and some archaea possess the genes and enzymes necessary to synthesize vitamin B12, also known as cobalamin, and provide it through the food chain. Vitamin B12 is a water-soluble vitamin that is involved in the metabolism of every cell of the human body. It is a cofactor in DNA synthesis, and in both fatty acid and amino acid metabolism. It is particularly important in the normal functioning of the nervous system via its role in the synthesis of myelin.[6][7][8][9]
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There are typically 40 million bacterial cells in a gram of soil and a million bacterial cells in a millilitre of fresh water. There are approximately 5×1030 bacteria on Earth,[10] forming a biomass which exceeds that of all plants and animals.[11] Bacteria are vital in many stages of the nutrient cycle by recycling nutrients such as the fixation of nitrogen from the atmosphere. The nutrient cycle includes the decomposition of dead bodies; bacteria are responsible for the putrefaction stage in this process.[12] In the biological communities surrounding hydrothermal vents and cold seeps, extremophile bacteria provide the nutrients needed to sustain life by converting dissolved compounds, such as hydrogen sulphide and methane, to energy.
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In humans and most animals the largest number of bacteria exist in the gut, and a large number on the skin.[13] The vast majority of the bacteria in the body are rendered harmless by the protective effects of the immune system, though many are beneficial, particularly in the gut flora. However, several species of bacteria are pathogenic and cause infectious diseases, including cholera, syphilis, anthrax, leprosy, and bubonic plague. The most common fatal bacterial diseases are respiratory infections. Tuberculosis alone kills about 2 million people per year, mostly in sub-Saharan Africa.[14] Antibiotics are used to treat bacterial infections and are also used in farming, making antibiotic resistance a growing problem. In industry, bacteria are important in sewage treatment and the breakdown of oil spills, the production of cheese and yogurt through fermentation, the recovery of gold, palladium, copper and other metals in the mining sector,[15] as well as in biotechnology, and the manufacture of antibiotics and other chemicals.[16]
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Once regarded as plants constituting the class Schizomycetes ("fission fungi"), bacteria are now classified as prokaryotes. Unlike cells of animals and other eukaryotes, bacterial cells do not contain a nucleus and rarely harbour membrane-bound organelles. Although the term bacteria traditionally included all prokaryotes, the scientific classification changed after the discovery in the 1990s that prokaryotes consist of two very different groups of organisms that evolved from an ancient common ancestor. These evolutionary domains are called Bacteria and Archaea.[1]
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The word bacteria is the plural of the New Latin bacterium, which is the latinisation of the Greek βακτήριον (bakterion),[17] the diminutive of βακτηρία (bakteria), meaning "staff, cane",[18] because the first ones to be discovered were rod-shaped.[19][20]
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The ancestors of modern bacteria were unicellular microorganisms that were the first forms of life to appear on Earth, about 4 billion years ago. For about 3 billion years, most organisms were microscopic, and bacteria and archaea were the dominant forms of life.[21][22] Although bacterial fossils exist, such as stromatolites, their lack of distinctive morphology prevents them from being used to examine the history of bacterial evolution, or to date the time of origin of a particular bacterial species. However, gene sequences can be used to reconstruct the bacterial phylogeny, and these studies indicate that bacteria diverged first from the archaeal/eukaryotic lineage.[23] The most recent common ancestor of bacteria and archaea was probably a hyperthermophile that lived about 2.5 billion–3.2 billion years ago.[24][25] The earliest life on land may have been bacteria some 3.22 billion years ago.[26]
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Bacteria were also involved in the second great evolutionary divergence, that of the archaea and eukaryotes. Here, eukaryotes resulted from the entering of ancient bacteria into endosymbiotic associations with the ancestors of eukaryotic cells, which were themselves possibly related to the Archaea.[27][28] This involved the engulfment by proto-eukaryotic cells of alphaproteobacterial symbionts to form either mitochondria or hydrogenosomes, which are still found in all known Eukarya (sometimes in highly reduced form, e.g. in ancient "amitochondrial" protozoa). Later, some eukaryotes that already contained mitochondria also engulfed cyanobacteria-like organisms, leading to the formation of chloroplasts in algae and plants. This is known as primary endosymbiosis.[29][30]
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Bacteria display a wide diversity of shapes and sizes, called morphologies. Bacterial cells are about one-tenth the size of eukaryotic cells and are typically 0.5–5.0 micrometres in length. However, a few species are visible to the unaided eye—for example, Thiomargarita namibiensis is up to half a millimetre long[31] and Epulopiscium fishelsoni reaches 0.7 mm.[32] Among the smallest bacteria are members of the genus Mycoplasma, which measure only 0.3 micrometres, as small as the largest viruses.[33] Some bacteria may be even smaller, but these ultramicrobacteria are not well-studied.[34]
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Most bacterial species are either spherical, called cocci (singular coccus, from Greek kókkos, grain, seed), or rod-shaped, called bacilli (sing. bacillus, from Latin baculus, stick).[35] Some bacteria, called vibrio, are shaped like slightly curved rods or comma-shaped; others can be spiral-shaped, called spirilla, or tightly coiled, called spirochaetes. A small number of other unusual shapes have been described, such as star-shaped bacteria.[36] This wide variety of shapes is determined by the bacterial cell wall and cytoskeleton, and is important because it can influence the ability of bacteria to acquire nutrients, attach to surfaces, swim through liquids and escape predators.[37][38]
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Many bacterial species exist simply as single cells, others associate in characteristic patterns: Neisseria form diploids (pairs), Streptococcus form chains, and Staphylococcus group together in "bunch of grapes" clusters. Bacteria can also group to form larger multicellular structures, such as the elongated filaments of Actinobacteria, the aggregates of Myxobacteria, and the complex hyphae of Streptomyces.[39] These multicellular structures are often only seen in certain conditions. For example, when starved of amino acids, Myxobacteria detect surrounding cells in a process known as quorum sensing, migrate towards each other, and aggregate to form fruiting bodies up to 500 micrometres long and containing approximately 100,000 bacterial cells.[40] In these fruiting bodies, the bacteria perform separate tasks; for example, about one in ten cells migrate to the top of a fruiting body and differentiate into a specialised dormant state called a myxospore, which is more resistant to drying and other adverse environmental conditions.[41]
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Bacteria often attach to surfaces and form dense aggregations called biofilms, and larger formations known as microbial mats. These biofilms and mats can range from a few micrometres in thickness to up to half a metre in depth, and may contain multiple species of bacteria, protists and archaea. Bacteria living in biofilms display a complex arrangement of cells and extracellular components, forming secondary structures, such as microcolonies, through which there are networks of channels to enable better diffusion of nutrients.[42][43] In natural environments, such as soil or the surfaces of plants, the majority of bacteria are bound to surfaces in biofilms.[44] Biofilms are also important in medicine, as these structures are often present during chronic bacterial infections or in infections of implanted medical devices, and bacteria protected within biofilms are much harder to kill than individual isolated bacteria.[45]
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The bacterial cell is surrounded by a cell membrane, which is made primarily of phospholipids. This membrane encloses the contents of the cell and acts as a barrier to hold nutrients, proteins and other essential components of the cytoplasm within the cell.[46] Unlike eukaryotic cells, bacteria usually lack large membrane-bound structures in their cytoplasm such as a nucleus, mitochondria, chloroplasts and the other organelles present in eukaryotic cells.[47] However, some bacteria have protein-bound organelles in the cytoplasm which compartmentalize aspects of bacterial metabolism,[48][49] such as the carboxysome.[50] Additionally, bacteria have a multi-component cytoskeleton to control the localisation of proteins and nucleic acids within the cell, and to manage the process of cell division.[51][52][53]
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Many important biochemical reactions, such as energy generation, occur due to concentration gradients across membranes, creating a potential difference analogous to a battery. The general lack of internal membranes in bacteria means these reactions, such as electron transport, occur across the cell membrane between the cytoplasm and the outside of the cell or periplasm.[54] However, in many photosynthetic bacteria the plasma membrane is highly folded and fills most of the cell with layers of light-gathering membrane.[55] These light-gathering complexes may even form lipid-enclosed structures called chlorosomes in green sulfur bacteria.[56]
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Bacteria do not have a membrane-bound nucleus, and their genetic material is typically a single circular bacterial chromosome of DNA located in the cytoplasm in an irregularly shaped body called the nucleoid.[57] The nucleoid contains the chromosome with its associated proteins and RNA. Like all other organisms, bacteria contain ribosomes for the production of proteins, but the structure of the bacterial ribosome is different from that of eukaryotes and Archaea.[58]
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Some bacteria produce intracellular nutrient storage granules, such as glycogen,[59] polyphosphate,[60] sulfur[61] or polyhydroxyalkanoates.[62] Bacteria such as the photosynthetic cyanobacteria, produce internal gas vacuoles, which they use to regulate their buoyancy, allowing them to move up or down into water layers with different light intensities and nutrient levels.[63]
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Around the outside of the cell membrane is the cell wall. Bacterial cell walls are made of peptidoglycan (also called murein), which is made from polysaccharide chains cross-linked by peptides containing D-amino acids.[64] Bacterial cell walls are different from the cell walls of plants and fungi, which are made of cellulose and chitin, respectively.[65] The cell wall of bacteria is also distinct from that of Archaea, which do not contain peptidoglycan. The cell wall is essential to the survival of many bacteria, and the antibiotic penicillin (produced by a fungus called Penicillium) is able to kill bacteria by inhibiting a step in the synthesis of peptidoglycan.[65]
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There are broadly speaking two different types of cell wall in bacteria, that classify bacteria into Gram-positive bacteria and Gram-negative bacteria. The names originate from the reaction of cells to the Gram stain, a long-standing test for the classification of bacterial species.[66]
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Gram-positive bacteria possess a thick cell wall containing many layers of peptidoglycan and teichoic acids. In contrast, Gram-negative bacteria have a relatively thin cell wall consisting of a few layers of peptidoglycan surrounded by a second lipid membrane containing lipopolysaccharides and lipoproteins. Most bacteria have the Gram-negative cell wall, and only the Firmicutes and Actinobacteria (previously known as the low G+C and high G+C Gram-positive bacteria, respectively) have the alternative Gram-positive arrangement.[67] These differences in structure can produce differences in antibiotic susceptibility; for instance, vancomycin can kill only Gram-positive bacteria and is ineffective against Gram-negative pathogens, such as Haemophilus influenzae or Pseudomonas aeruginosa.[68] Some bacteria have cell wall structures that are neither classically Gram-positive or Gram-negative. This includes clinically important bacteria such as Mycobacteria which have a thick peptidoglycan cell wall like a Gram-positive bacterium, but also a second outer layer of lipids.[69]
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In many bacteria, an S-layer of rigidly arrayed protein molecules covers the outside of the cell.[70] This layer provides chemical and physical protection for the cell surface and can act as a macromolecular diffusion barrier. S-layers have diverse but mostly poorly understood functions, but are known to act as virulence factors in Campylobacter and contain surface enzymes in Bacillus stearothermophilus.[71]
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Flagella are rigid protein structures, about 20 nanometres in diameter and up to 20 micrometres in length, that are used for motility. Flagella are driven by the energy released by the transfer of ions down an electrochemical gradient across the cell membrane.[72]
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Fimbriae (sometimes called "attachment pili") are fine filaments of protein, usually 2–10 nanometres in diameter and up to several micrometres in length. They are distributed over the surface of the cell, and resemble fine hairs when seen under the electron microscope. Fimbriae are believed to be involved in attachment to solid surfaces or to other cells, and are essential for the virulence of some bacterial pathogens.[73] Pili (sing. pilus) are cellular appendages, slightly larger than fimbriae, that can transfer genetic material between bacterial cells in a process called conjugation where they are called conjugation pili or sex pili (see bacterial genetics, below).[74] They can also generate movement where they are called type IV pili.[75]
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Glycocalyx is produced by many bacteria to surround their cells, and varies in structural complexity: ranging from a disorganised slime layer of extracellular polymeric substances to a highly structured capsule. These structures can protect cells from engulfment by eukaryotic cells such as macrophages (part of the human immune system).[76] They can also act as antigens and be involved in cell recognition, as well as aiding attachment to surfaces and the formation of biofilms.[77]
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The assembly of these extracellular structures is dependent on bacterial secretion systems. These transfer proteins from the cytoplasm into the periplasm or into the environment around the cell. Many types of secretion systems are known and these structures are often essential for the virulence of pathogens, so are intensively studied.[78]
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Certain genera of Gram-positive bacteria, such as Bacillus, Clostridium, Sporohalobacter, Anaerobacter, and Heliobacterium, can form highly resistant, dormant structures called endospores.[79] Endospores develop within the cytoplasm of the cell; generally a single endospore develops in each cell.[80] Each endospore contains a core of DNA and ribosomes surrounded by a cortex layer and protected by a multilayer rigid coat composed of peptidoglycan and a variety of proteins.[80]
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Endospores show no detectable metabolism and can survive extreme physical and chemical stresses, such as high levels of UV light, gamma radiation, detergents, disinfectants, heat, freezing, pressure, and desiccation.[81] In this dormant state, these organisms may remain viable for millions of years,[82][83][84] and endospores even allow bacteria to survive exposure to the vacuum and radiation in space, possibly bacteria could be distributed throughout the Universe by space dust, meteoroids, asteroids, comets, planetoids or via directed panspermia.[85][86] Endospore-forming bacteria can also cause disease: for example, anthrax can be contracted by the inhalation of Bacillus anthracis endospores, and contamination of deep puncture wounds with Clostridium tetani endospores causes tetanus.[87]
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Bacteria exhibit an extremely wide variety of metabolic types.[88] The distribution of metabolic traits within a group of bacteria has traditionally been used to define their taxonomy, but these traits often do not correspond with modern genetic classifications.[89] Bacterial metabolism is classified into nutritional groups on the basis of three major criteria: the source of energy, the electron donors used, and the source of carbon used for growth.[90]
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Bacteria either derive energy from light using photosynthesis (called phototrophy), or by breaking down chemical compounds using oxidation (called chemotrophy).[91] Chemotrophs use chemical compounds as a source of energy by transferring electrons from a given electron donor to a terminal electron acceptor in a redox reaction. This reaction releases energy that can be used to drive metabolism. Chemotrophs are further divided by the types of compounds they use to transfer electrons. Bacteria that use inorganic compounds such as hydrogen, carbon monoxide, or ammonia as sources of electrons are called lithotrophs, while those that use organic compounds are called organotrophs.[91] The compounds used to receive electrons are also used to classify bacteria: aerobic organisms use oxygen as the terminal electron acceptor, while anaerobic organisms use other compounds such as nitrate, sulfate, or carbon dioxide.[91]
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Many bacteria get their carbon from other organic carbon, called heterotrophy. Others such as cyanobacteria and some purple bacteria are autotrophic, meaning that they obtain cellular carbon by fixing carbon dioxide.[92] In unusual circumstances, the gas methane can be used by methanotrophic bacteria as both a source of electrons and a substrate for carbon anabolism.[93]
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In many ways, bacterial metabolism provides traits that are useful for ecological stability and for human society. One example is that some bacteria have the ability to fix nitrogen gas using the enzyme nitrogenase. This environmentally important trait can be found in bacteria of most metabolic types listed above.[94] This leads to the ecologically important processes of denitrification, sulfate reduction, and acetogenesis, respectively.[95][96] Bacterial metabolic processes are also important in biological responses to pollution; for example, sulfate-reducing bacteria are largely responsible for the production of the highly toxic forms of mercury (methyl- and dimethylmercury) in the environment.[97] Non-respiratory anaerobes use fermentation to generate energy and reducing power, secreting metabolic by-products (such as ethanol in brewing) as waste. Facultative anaerobes can switch between fermentation and different terminal electron acceptors depending on the environmental conditions in which they find themselves.[98]
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Unlike in multicellular organisms, increases in cell size (cell growth) and reproduction by cell division are tightly linked in unicellular organisms. Bacteria grow to a fixed size and then reproduce through binary fission, a form of asexual reproduction.[99] Under optimal conditions, bacteria can grow and divide extremely rapidly, and bacterial populations can double as quickly as every 9.8 minutes.[100] In cell division, two identical clone daughter cells are produced. Some bacteria, while still reproducing asexually, form more complex reproductive structures that help disperse the newly formed daughter cells. Examples include fruiting body formation by Myxobacteria and aerial hyphae formation by Streptomyces, or budding. Budding involves a cell forming a protrusion that breaks away and produces a daughter cell.[101]
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In the laboratory, bacteria are usually grown using solid or liquid media. Solid growth media, such as agar plates, are used to isolate pure cultures of a bacterial strain. However, liquid growth media are used when the measurement of growth or large volumes of cells are required. Growth in stirred liquid media occurs as an even cell suspension, making the cultures easy to divide and transfer, although isolating single bacteria from liquid media is difficult. The use of selective media (media with specific nutrients added or deficient, or with antibiotics added) can help identify specific organisms.[103]
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Most laboratory techniques for growing bacteria use high levels of nutrients to produce large amounts of cells cheaply and quickly. However, in natural environments, nutrients are limited, meaning that bacteria cannot continue to reproduce indefinitely. This nutrient limitation has led the evolution of different growth strategies (see r/K selection theory). Some organisms can grow extremely rapidly when nutrients become available, such as the formation of algal (and cyanobacterial) blooms that often occur in lakes during the summer.[104] Other organisms have adaptations to harsh environments, such as the production of multiple antibiotics by Streptomyces that inhibit the growth of competing microorganisms.[105] In nature, many organisms live in communities (e.g., biofilms) that may allow for increased supply of nutrients and protection from environmental stresses.[44] These relationships can be essential for growth of a particular organism or group of organisms (syntrophy).[106]
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Bacterial growth follows four phases. When a population of bacteria first enter a high-nutrient environment that allows growth, the cells need to adapt to their new environment. The first phase of growth is the lag phase, a period of slow growth when the cells are adapting to the high-nutrient environment and preparing for fast growth. The lag phase has high biosynthesis rates, as proteins necessary for rapid growth are produced.[107][108] The second phase of growth is the logarithmic phase, also known as the exponential phase. The log phase is marked by rapid exponential growth. The rate at which cells grow during this phase is known as the growth rate (k), and the time it takes the cells to double is known as the generation time (g). During log phase, nutrients are metabolised at maximum speed until one of the nutrients is depleted and starts limiting growth. The third phase of growth is the stationary phase and is caused by depleted nutrients. The cells reduce their metabolic activity and consume non-essential cellular proteins. The stationary phase is a transition from rapid growth to a stress response state and there is increased expression of genes involved in DNA repair, antioxidant metabolism and nutrient transport.[109] The final phase is the death phase where the bacteria run out of nutrients and die.[110]
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Most bacteria have a single circular chromosome that can range in size from only 160,000 base pairs in the endosymbiotic bacteria Carsonella ruddii,[111] to 12,200,000 base pairs (12.2 Mbp) in the soil-dwelling bacteria Sorangium cellulosum.[112] There are many exceptions to this, for example some Streptomyces and Borrelia species contain a single linear chromosome,[113][114] while some Vibrio species contain more than one chromosome.[115] Bacteria can also contain plasmids, small extra-chromosomal molecules of DNA that may contain genes for various useful functions such as antibiotic resistance, metabolic capabilities, or various virulence factors.[116]
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Bacteria genomes usually encode a few hundred to a few thousand genes. The genes in bacterial genomes are usually a single continuous stretch of DNA and although several different types of introns do exist in bacteria, these are much rarer than in eukaryotes.[117]
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Bacteria, as asexual organisms, inherit an identical copy of the parent's genomes and are clonal. However, all bacteria can evolve by selection on changes to their genetic material DNA caused by genetic recombination or mutations. Mutations come from errors made during the replication of DNA or from exposure to mutagens. Mutation rates vary widely among different species of bacteria and even among different clones of a single species of bacteria.[118] Genetic changes in bacterial genomes come from either random mutation during replication or "stress-directed mutation", where genes involved in a particular growth-limiting process have an increased mutation rate.[119]
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Some bacteria also transfer genetic material between cells. This can occur in three main ways. First, bacteria can take up exogenous DNA from their environment, in a process called transformation.[120] Many bacteria can naturally take up DNA from the environment, while others must be chemically altered in order to induce them to take up DNA.[121] The development of competence in nature is usually associated with stressful environmental conditions, and seems to be an adaptation for facilitating repair of DNA damage in recipient cells.[122] The second way bacteria transfer genetic material is by transduction, when the integration of a bacteriophage introduces foreign DNA into the chromosome. Many types of bacteriophage exist, some simply infect and lyse their host bacteria, while others insert into the bacterial chromosome.[123] Bacteria resist phage infection through restriction modification systems that degrade foreign DNA,[124] and a system that uses CRISPR sequences to retain fragments of the genomes of phage that the bacteria have come into contact with in the past, which allows them to block virus replication through a form of RNA interference.[125][126] The third method of gene transfer is conjugation, whereby DNA is transferred through direct cell contact. In ordinary circumstances, transduction, conjugation, and transformation involve transfer of DNA between individual bacteria of the same species, but occasionally transfer may occur between individuals of different bacterial species and this may have significant consequences, such as the transfer of antibiotic resistance.[127][128] In such cases, gene acquisition from other bacteria or the environment is called horizontal gene transfer and may be common under natural conditions.[129]
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Many bacteria are motile (able to move themselves) and do so using a variety of mechanisms. The best studied of these are flagella, long filaments that are turned by a motor at the base to generate propeller-like movement.[130] The bacterial flagellum is made of about 20 proteins, with approximately another 30 proteins required for its regulation and assembly.[130] The flagellum is a rotating structure driven by a reversible motor at the base that uses the electrochemical gradient across the membrane for power.[131]
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Bacteria can use flagella in different ways to generate different kinds of movement. Many bacteria (such as E. coli) have two distinct modes of movement: forward movement (swimming) and tumbling. The tumbling allows them to reorient and makes their movement a three-dimensional random walk.[132] Bacterial species differ in the number and arrangement of flagella on their surface; some have a single flagellum (monotrichous), a flagellum at each end (amphitrichous), clusters of flagella at the poles of the cell (lophotrichous), while others have flagella distributed over the entire surface of the cell (peritrichous). The flagella of a unique group of bacteria, the spirochaetes, are found between two membranes in the periplasmic space. They have a distinctive helical body that twists about as it moves.[130]
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Two other types of bacterial motion are called twitching motility that relies on a structure called the type IV pilus,[133] and gliding motility, that uses other mechanisms. In twitching motility, the rod-like pilus extends out from the cell, binds some substrate, and then retracts, pulling the cell forward.[134]
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Motile bacteria are attracted or repelled by certain stimuli in behaviours called taxes: these include chemotaxis, phototaxis, energy taxis, and magnetotaxis.[135][136][137] In one peculiar group, the myxobacteria, individual bacteria move together to form waves of cells that then differentiate to form fruiting bodies containing spores.[41] The myxobacteria move only when on solid surfaces, unlike E. coli, which is motile in liquid or solid media.[138]
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Several Listeria and Shigella species move inside host cells by usurping the cytoskeleton, which is normally used to move organelles inside the cell. By promoting actin polymerisation at one pole of their cells, they can form a kind of tail that pushes them through the host cell's cytoplasm.[139]
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A few bacteria have chemical systems that generate light. This bioluminescence often occurs in bacteria that live in association with fish, and the light probably serves to attract fish or other large animals.[140]
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Bacteria often function as multicellular aggregates known as biofilms, exchanging a variety of molecular signals for inter-cell communication, and engaging in coordinated multicellular behaviour.[141][142]
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The communal benefits of multicellular cooperation include a cellular division of labour, accessing resources that cannot effectively be used by single cells, collectively defending against antagonists, and optimising population survival by differentiating into distinct cell types.[141] For example, bacteria in biofilms can have more than 500 times increased resistance to antibacterial agents than individual "planktonic" bacteria of the same species.[142]
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One type of inter-cellular communication by a molecular signal is called quorum sensing, which serves the purpose of determining whether there is a local population density that is sufficiently high that it is productive to invest in processes that are only successful if large numbers of similar organisms behave similarly, as in excreting digestive enzymes or emitting light.[143][144]
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Quorum sensing allows bacteria to coordinate gene expression, and enables them to produce, release and detect autoinducers or pheromones which accumulate with the growth in cell population.[145]
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Classification seeks to describe the diversity of bacterial species by naming and grouping organisms based on similarities. Bacteria can be classified on the basis of cell structure, cellular metabolism or on differences in cell components, such as DNA, fatty acids, pigments, antigens and quinones.[103] While these schemes allowed the identification and classification of bacterial strains, it was unclear whether these differences represented variation between distinct species or between strains of the same species. This uncertainty was due to the lack of distinctive structures in most bacteria, as well as lateral gene transfer between unrelated species.[147] Due to lateral gene transfer, some closely related bacteria can have very different morphologies and metabolisms. To overcome this uncertainty, modern bacterial classification emphasises molecular systematics, using genetic techniques such as guanine cytosine ratio determination, genome-genome hybridisation, as well as sequencing genes that have not undergone extensive lateral gene transfer, such as the rRNA gene.[148] Classification of bacteria is determined by publication in the International Journal of Systematic Bacteriology,[149] and Bergey's Manual of Systematic Bacteriology.[150] The International Committee on Systematic Bacteriology (ICSB) maintains international rules for the naming of bacteria and taxonomic categories and for the ranking of them in the International Code of Nomenclature of Bacteria.[151]
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The term "bacteria" was traditionally applied to all microscopic, single-cell prokaryotes. However, molecular systematics showed prokaryotic life to consist of two separate domains, originally called Eubacteria and Archaebacteria, but now called Bacteria and Archaea that evolved independently from an ancient common ancestor.[1] The archaea and eukaryotes are more closely related to each other than either is to the bacteria. These two domains, along with Eukarya, are the basis of the three-domain system, which is currently the most widely used classification system in microbiology.[152] However, due to the relatively recent introduction of molecular systematics and a rapid increase in the number of genome sequences that are available, bacterial classification remains a changing and expanding field.[153][154] For example, Cavalier-Smith argued that the Archaea and Eukaryotes evolved from Gram-positive bacteria.[155]
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The identification of bacteria in the laboratory is particularly relevant in medicine, where the correct treatment is determined by the bacterial species causing an infection. Consequently, the need to identify human pathogens was a major impetus for the development of techniques to identify bacteria.[156]
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The Gram stain, developed in 1884 by Hans Christian Gram, characterises bacteria based on the structural characteristics of their cell walls.[66] The thick layers of peptidoglycan in the "Gram-positive" cell wall stain purple, while the thin "Gram-negative" cell wall appears pink. By combining morphology and Gram-staining, most bacteria can be classified as belonging to one of four groups (Gram-positive cocci, Gram-positive bacilli, Gram-negative cocci and Gram-negative bacilli). Some organisms are best identified by stains other than the Gram stain, particularly mycobacteria or Nocardia, which show acid-fastness on Ziehl–Neelsen or similar stains.[157] Other organisms may need to be identified by their growth in special media, or by other techniques, such as serology.[158]
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Culture techniques are designed to promote the growth and identify particular bacteria, while restricting the growth of the other bacteria in the sample. Often these techniques are designed for specific specimens; for example, a sputum sample will be treated to identify organisms that cause pneumonia, while stool specimens are cultured on selective media to identify organisms that cause diarrhoea, while preventing growth of non-pathogenic bacteria. Specimens that are normally sterile, such as blood, urine or spinal fluid, are cultured under conditions designed to grow all possible organisms.[103][159] Once a pathogenic organism has been isolated, it can be further characterised by its morphology, growth patterns (such as aerobic or anaerobic growth), patterns of hemolysis, and staining.[160]
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As with bacterial classification, identification of bacteria is increasingly using molecular methods. Diagnostics using DNA-based tools, such as polymerase chain reaction, are increasingly popular due to their specificity and speed, compared to culture-based methods.[161] These methods also allow the detection and identification of "viable but nonculturable" cells that are metabolically active but non-dividing.[162] However, even using these improved methods, the total number of bacterial species is not known and cannot even be estimated with any certainty. Following present classification, there are a little less than 9,300 known species of prokaryotes, which includes bacteria and archaea;[163] but attempts to estimate the true number of bacterial diversity have ranged from 107 to 109 total species—and even these diverse estimates may be off by many orders of magnitude.[164][165]
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Despite their apparent simplicity, bacteria can form complex associations with other organisms. These symbiotic associations can be divided into parasitism, mutualism and commensalism. Due to their small size, commensal bacteria are ubiquitous and grow on animals and plants exactly as they will grow on any other surface. However, their growth can be increased by warmth and sweat, and large populations of these organisms in humans are the cause of body odour.[167]
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Some species of bacteria kill and then consume other microorganisms, these species are called predatory bacteria.[168] These include organisms such as Myxococcus xanthus, which forms swarms of cells that kill and digest any bacteria they encounter.[169] Other bacterial predators either attach to their prey in order to digest them and absorb nutrients, such as Vampirovibrio chlorellavorus,[170] or invade another cell and multiply inside the cytosol, such as Daptobacter.[171] These predatory bacteria are thought to have evolved from saprophages that consumed dead microorganisms, through adaptations that allowed them to entrap and kill other organisms.[172]
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Certain bacteria form close spatial associations that are essential for their survival. One such mutualistic association, called interspecies hydrogen transfer, occurs between clusters of anaerobic bacteria that consume organic acids, such as butyric acid or propionic acid, and produce hydrogen, and methanogenic Archaea that consume hydrogen.[173] The bacteria in this association are unable to consume the organic acids as this reaction produces hydrogen that accumulates in their surroundings. Only the intimate association with the hydrogen-consuming Archaea keeps the hydrogen concentration low enough to allow the bacteria to grow.[174]
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In soil, microorganisms that reside in the rhizosphere (a zone that includes the root surface and the soil that adheres to the root after gentle shaking) carry out nitrogen fixation, converting nitrogen gas to nitrogenous compounds.[175] This serves to provide an easily absorbable form of nitrogen for many plants, which cannot fix nitrogen themselves. Many other bacteria are found as symbionts in humans and other organisms. For example, the presence of over 1,000 bacterial species in the normal human gut flora of the intestines can contribute to gut immunity, synthesise vitamins, such as folic acid, vitamin K and biotin, convert sugars to lactic acid (see Lactobacillus), as well as fermenting complex undigestible carbohydrates.[176][177][178] The presence of this gut flora also inhibits the growth of potentially pathogenic bacteria (usually through competitive exclusion) and these beneficial bacteria are consequently sold as probiotic dietary supplements.[179]
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If bacteria form a parasitic association with other organisms, they are classed as pathogens. Pathogenic bacteria are a major cause of human death and disease and cause infections such as tetanus (Caused by Clostridium tetani), typhoid fever, diphtheria, syphilis, cholera, foodborne illness, leprosy (caused by Micobacterium leprae) and tuberculosis (Caused by Mycobacterium tuberculosis). A pathogenic cause for a known medical disease may only be discovered many years after, as was the case with Helicobacter pylori and peptic ulcer disease. Bacterial diseases are also important in agriculture, with bacteria causing leaf spot, fire blight and wilts in plants, as well as Johne's disease, mastitis, salmonella and anthrax in farm animals.[180]
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Each species of pathogen has a characteristic spectrum of interactions with its human hosts. Some organisms, such as Staphylococcus or Streptococcus, can cause skin infections, pneumonia, meningitis and even overwhelming sepsis, a systemic inflammatory response producing shock, massive vasodilation and death.[181] Yet these organisms are also part of the normal human flora and usually exist on the skin or in the nose without causing any disease at all. Other organisms invariably cause disease in humans, such as the Rickettsia, which are obligate intracellular parasites able to grow and reproduce only within the cells of other organisms. One species of Rickettsia causes typhus, while another causes Rocky Mountain spotted fever. Chlamydia, another phylum of obligate intracellular parasites, contains species that can cause pneumonia, or urinary tract infection and may be involved in coronary heart disease.[182] Finally, some species, such as Pseudomonas aeruginosa, Burkholderia cenocepacia, and Mycobacterium avium, are opportunistic pathogens and cause disease mainly in people suffering from immunosuppression or cystic fibrosis.[183][184]
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Bacterial infections may be treated with antibiotics, which are classified as bacteriocidal if they kill bacteria, or bacteriostatic if they just prevent bacterial growth. There are many types of antibiotics and each class inhibits a process that is different in the pathogen from that found in the host. An example of how antibiotics produce selective toxicity are chloramphenicol and puromycin, which inhibit the bacterial ribosome, but not the structurally different eukaryotic ribosome.[185] Antibiotics are used both in treating human disease and in intensive farming to promote animal growth, where they may be contributing to the rapid development of antibiotic resistance in bacterial populations.[186] Infections can be prevented by antiseptic measures such as sterilising the skin prior to piercing it with the needle of a syringe, and by proper care of indwelling catheters. Surgical and dental instruments are also sterilised to prevent contamination by bacteria. Disinfectants such as bleach are used to kill bacteria or other pathogens on surfaces to prevent contamination and further reduce the risk of infection.[187]
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Bacteria, often lactic acid bacteria, such as Lactobacillus and Lactococcus, in combination with yeasts and moulds, have been used for thousands of years in the preparation of fermented foods, such as cheese, pickles, soy sauce, sauerkraut, vinegar, wine and yogurt.[188][189]
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The ability of bacteria to degrade a variety of organic compounds is remarkable and has been used in waste processing and bioremediation. Bacteria capable of digesting the hydrocarbons in petroleum are often used to clean up oil spills.[190] Fertiliser was added to some of the beaches in Prince William Sound in an attempt to promote the growth of these naturally occurring bacteria after the 1989 Exxon Valdez oil spill. These efforts were effective on beaches that were not too thickly covered in oil. Bacteria are also used for the bioremediation of industrial toxic wastes.[191] In the chemical industry, bacteria are most important in the production of enantiomerically pure chemicals for use as pharmaceuticals or agrichemicals.[192]
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Bacteria can also be used in the place of pesticides in the biological pest control. This commonly involves Bacillus thuringiensis (also called BT), a Gram-positive, soil dwelling bacterium. Subspecies of this bacteria are used as a Lepidopteran-specific insecticides under trade names such as Dipel and Thuricide.[193] Because of their specificity, these pesticides are regarded as environmentally friendly, with little or no effect on humans, wildlife, pollinators and most other beneficial insects.[194][195]
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Because of their ability to quickly grow and the relative ease with which they can be manipulated, bacteria are the workhorses for the fields of molecular biology, genetics and biochemistry. By making mutations in bacterial DNA and examining the resulting phenotypes, scientists can determine the function of genes, enzymes and metabolic pathways in bacteria, then apply this knowledge to more complex organisms.[196] This aim of understanding the biochemistry of a cell reaches its most complex expression in the synthesis of huge amounts of enzyme kinetic and gene expression data into mathematical models of entire organisms. This is achievable in some well-studied bacteria, with models of Escherichia coli metabolism now being produced and tested.[197][198] This understanding of bacterial metabolism and genetics allows the use of biotechnology to bioengineer bacteria for the production of therapeutic proteins, such as insulin, growth factors, or antibodies.[199][200]
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Because of their importance for research in general, samples of bacterial strains are isolated and preserved in Biological Resource Centers. This ensures the availability of the strain to scientists worldwide.[201]
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Bacteria were first observed by the Dutch microscopist Antonie van Leeuwenhoek in 1676, using a single-lens microscope of his own design.[202] He then published his observations in a series of letters to the Royal Society of London.[203][204][205] Bacteria were Leeuwenhoek's most remarkable microscopic discovery. They were just at the limit of what his simple lenses could make out and, in one of the most striking hiatuses in the history of science, no one else would see them again for over a century.[206] His observations had also included protozoans which he called animalcules, and his findings were looked at again in the light of the more recent findings of cell theory.[207]
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Christian Gottfried Ehrenberg introduced the word "bacterium" in 1828.[208] In fact, his Bacterium was a genus that contained non-spore-forming rod-shaped bacteria,[209] as opposed to Bacillus, a genus of spore-forming rod-shaped bacteria defined by Ehrenberg in 1835.[210]
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Louis Pasteur demonstrated in 1859 that the growth of microorganisms causes the fermentation process, and that this growth is not due to spontaneous generation (yeasts and molds, commonly associated with fermentation, are not bacteria, but rather fungi). Along with his contemporary Robert Koch, Pasteur was an early advocate of the germ theory of disease.[211]
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Robert Koch, a pioneer in medical microbiology, worked on cholera, anthrax and tuberculosis. In his research into tuberculosis Koch finally proved the germ theory, for which he received a Nobel Prize in 1905.[212] In Koch's postulates, he set out criteria to test if an organism is the cause of a disease, and these postulates are still used today.[213]
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Ferdinand Cohn is said to be a founder of bacteriology, studying bacteria from 1870. Cohn was the first to classify bacteria based on their morphology.[214][215]
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Though it was known in the nineteenth century that bacteria are the cause of many diseases, no effective antibacterial treatments were available.[216] In 1910, Paul Ehrlich developed the first antibiotic, by changing dyes that selectively stained Treponema pallidum—the spirochaete that causes syphilis—into compounds that selectively killed the pathogen.[217] Ehrlich had been awarded a 1908 Nobel Prize for his work on immunology, and pioneered the use of stains to detect and identify bacteria, with his work being the basis of the Gram stain and the Ziehl–Neelsen stain.[218]
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A major step forward in the study of bacteria came in 1977 when Carl Woese recognised that archaea have a separate line of evolutionary descent from bacteria.[3] This new phylogenetic taxonomy depended on the sequencing of 16S ribosomal RNA, and divided prokaryotes into two evolutionary domains, as part of the three-domain system.[1]
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Robert II (27 March 972 – 20 July 1031), called the Pious (French: le Pieux) or the Wise (French: le Sage), was King of the Franks from 996 to 1031, the second from the House of Capet. He was born in Orléans to Hugh Capet and Adelaide of Aquitaine. Robert distinguished himself with an extraordinarily long reign for the time. His 35-year-long reign was marked by his attempts to expand the royal domain by any means, especially by his long struggle to gain the Duchy of Burgundy. His policies earned him many enemies, including three of his sons. He was also known for his difficult marriages: he married three times, annulling two of these and attempting to annul the third, prevented only by the Pope's refusal to accept a third annulment.
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Immediately after his own coronation, Robert's father Hugh began to push for the coronation of his son. "The essential means by which the early Capetians were seen to have kept the throne in their family was through the association of the eldest surviving son in the royalty during the father's lifetime," Andrew W. Lewis has observed, in tracing the phenomenon in this line of kings who lacked dynastic legitimacy.[2] Hugh's claimed reason was that he was planning an expedition against the Moorish armies harassing Borrel II of Barcelona, an invasion which never occurred, and that the stability of the country necessitated a co-king, should he die while on expedition.[3] Ralph Glaber, however, attributes Hugh's request to his old age and inability to control the nobility.[4] Modern scholarship has largely imputed to Hugh the motive of establishing a dynasty against the claims of electoral power on the part of the aristocracy, but this is not the typical view of contemporaries and even some modern scholars have been less sceptical of Hugh's "plan" to campaign in Spain.[5] Robert was eventually crowned on 25 December 987.[6] A measure of Hugh's success is that when Hugh died in 996, Robert continued to reign without any succession dispute, but during his long reign actual royal power dissipated into the hands of the great territorial magnates.
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Robert had begun to take on active royal duties with his father in the early 990s. In 991, he helped his father prevent the French bishops from trekking to Mousson in the Kingdom of Germany for a synod called by Pope John XV, with whom Hugh was then in disagreement.
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As early as 989, having been rebuffed in his search for a Byzantine princess,[7] Hugh Capet arranged for Robert to marry Rozala, the recently widowed daughter of Berengar II of Italy, many years his senior, who took the name of Susanna upon becoming queen.[8] She was the widow of Arnulf II of Flanders, with whom she had two children. Robert divorced her within a year of his father's death in 996. He then married Bertha, daughter of Conrad of Burgundy, around the time of his father's death. She was a widow of Odo I of Blois, but was also Robert's second cousin. For reasons of consanguinity, Pope Gregory V refused to sanction the marriage, and Robert was excommunicated.[9] After long negotiations with Gregory's successor, Sylvester II, the marriage was annulled.
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Finally, in 1001, Robert entered into his final and longest-lasting marriage—to Constance of Arles, the daughter of William I of Provence. Her southern customs and entourage were regarded with suspicion at court. After his companion Hugh of Beauvais, count palatine[10], urged the king to repudiate her as well, knights of her kinsman Fulk III, Count of Anjou had Beauvais murdered in 1008. The king and Bertha then went to Rome to ask Pope Sergius IV for an annulment so they could remarry.[11] After this was refused, he went back to Constance and fathered several children by her. Her ambition alienated the chroniclers of her day, who blamed her for several of the king's decisions. Constance and Robert remained married until his death in 1031.
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Robert was a devout Catholic, hence his sobriquet "the Pious." He was musically inclined, being a composer, chorister, and poet, and made his palace a place of religious seclusion where he conducted the matins and vespers in his royal robes. Robert's reputation for piety also resulted from his lack of toleration for heretics, whom he harshly punished. He is said to have advocated forced conversions of local Jewry. He supported riots against the Jews of Orléans who were accused of conspiring to destroy the Church of the Holy Sepulchre in Jerusalem.[12] Furthermore, Robert reinstated the Roman imperial custom of burning heretics at the stake.[13]
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In 1030–1031, Robert confirmed the foundation of Noyers Abbey.[14]
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The kingdom Robert inherited was not large and, in an effort to increase his power, he vigorously pursued his claim to any feudal lands that became vacant, usually resulting in war with a counter-claimant. In 1003, his invasion of the Duchy of Burgundy was thwarted, and it would not be until 1016 that he was finally able to get the support of the Church to be recognized as Duke of Burgundy.
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The pious Robert made few friends and many enemies, including three of his own sons: Hugh, Henry, and Robert. They turned against their father in a civil war over power and property. Hugh died in revolt in 1025. In a conflict with Henry and the younger Robert, King Robert's army was defeated, and he retreated to Beaugency outside Paris, his capital. He died in the middle of the war with his sons on 20 July 1031 at Melun. He was interred with Constance in Saint Denis Basilica and succeeded by his son Henry, in both France and Burgundy.
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Robert had no children from his short-lived marriage to Susanna. His illegal marriage to Bertha gave him one stillborn son in 999, but only Constance gave him surviving children:
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Robert also left an illegitimate son: Rudolph, Bishop of Bourges.
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Robin Hood is a legendary heroic outlaw originally depicted in English folklore and subsequently featured in literature and film. According to legend, he was a highly skilled archer and swordsman. In some versions of the legend, he is depicted as being of noble birth, and in modern retellings he is sometimes depicted as having fought in the Crusades before returning to England to find his lands taken by the Sheriff. In the oldest known versions he is instead a member of the yeoman class. Traditionally depicted dressed in Lincoln green, he is said to have robbed from the rich and given to the poor.
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Through retellings, additions, and variations, a body of familiar characters associated with Robin Hood has been created. These include his lover, Maid Marian, his band of outlaws, the Merry Men, and his chief opponent, the Sheriff of Nottingham. The Sheriff is often depicted as assisting Prince John in usurping the rightful but absent King Richard, to whom Robin Hood remains loyal. His partisanship of the common people and his hostility to the Sheriff of Nottingham are early recorded features of the legend, but his interest in the rightfulness of the king is not, and neither is his setting in the reign of Richard I. He became a popular folk figure in the Late Middle Ages, and the earliest known ballads featuring him are from the 15th century (1400s).
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There have been numerous variations and adaptations of the story over the subsequent years, and the story continues to be widely represented in literature, film, and television. Robin Hood is considered one of the best known tales of English folklore.
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The historicity of Robin Hood is not proven and has been debated for centuries. There are numerous references to historical figures with similar names that have been proposed as possible evidence of his existence, some dating back to the late 13th century. At least eight plausible origins to the story have been mooted by historians and folklorists, including suggestions that "Robin Hood" was a stock alias used by or in reference to bandits.
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The first clear reference to "rhymes of Robin Hood" is from the alliterative poem Piers Plowman, thought to have been composed in the 1370s, followed shortly afterwards by a quotation of a later common proverb,[1] "many men speak of Robin Hood and never shot his bow",[2] in Friar Daw's Reply (c.1402)[3] and a complaint in Dives and Pauper (1405-1410) that people would rather listen to "tales and songs of Robin Hood" than attend Mass.[4] Robin Hood is also mentioned in a famous Lollard tract (Cambridge University Library MS Ii.6.26) dated to the first half of the fifteenth century[5] (thus also possibly predating his other earliest historical mentions)[6] alongside several other folk heroes such as Guy of Warwick, Bevis of Hampton and Sir Lybeaus.[7]
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However, the earliest surviving copies of the narrative ballads that tell his story date to the second half of the 15th century, or the first decade of the 16th century. In these early accounts, Robin Hood's partisanship of the lower classes, his devotion to the Virgin Mary and associated special regard for women, his outstanding skill as an archer, his anti-clericalism, and his particular animosity towards the Sheriff of Nottingham are already clear.[8] Little John, Much the Miller's Son and Will Scarlet (as Will "Scarlok" or "Scathelocke") all appear, although not yet Maid Marian or Friar Tuck. The latter has been part of the legend since at least the later 15th century, when he is mentioned in a Robin Hood play script.[9]
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In modern popular culture, Robin Hood is typically seen as a contemporary and supporter of the late-12th-century king Richard the Lionheart, Robin being driven to outlawry during the misrule of Richard's brother John while Richard was away at the Third Crusade. This view first gained currency in the 16th century.[10] It is not supported by the earliest ballads. The early compilation, A Gest of Robyn Hode, names the king as 'Edward'; and while it does show Robin Hood accepting the King's pardon, he later repudiates it and returns to the greenwood.[11][12] The oldest surviving ballad, Robin Hood and the Monk, gives even less support to the picture of Robin Hood as a partisan of the true king. The setting of the early ballads is usually attributed by scholars to either the 13th century or the 14th, although it is recognised they are not necessarily historically consistent.[13]
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The early ballads are also quite clear on Robin Hood's social status: he is a yeoman. While the precise meaning of this term changed over time, including free retainers of an aristocrat and small landholders, it always referred to commoners. The essence of it in the present context was "neither a knight nor a peasant or 'husbonde' but something in between".[14] Artisans (such as millers) were among those regarded as 'yeomen' in the 14th century.[15] From the 16th century on, there were attempts to elevate Robin Hood to the nobility, such as in Richard Grafton's Chronicle at Large;[16] Anthony Munday presented him at the very end of the century as the Earl of Huntingdon in two extremely influential plays, as he is still commonly presented in modern times.[17]
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As well as ballads, the legend was also transmitted by 'Robin Hood games' or plays that were an important part of the late medieval and early modern May Day festivities. The first record of a Robin Hood game was in 1426 in Exeter, but the reference does not indicate how old or widespread this custom was at the time. The Robin Hood games are known to have flourished in the later 15th and 16th centuries.[18] It is commonly stated as fact that Maid Marian and a jolly friar (at least partly identifiable with Friar Tuck) entered the legend through the May Games.[19]
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The earliest surviving text of a Robin Hood ballad is the 15th-century "Robin Hood and the Monk".[20] This is preserved in Cambridge University manuscript Ff.5.48. Written after 1450,[21] it contains many of the elements still associated with the legend, from the Nottingham setting to the bitter enmity between Robin and the local sheriff.
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The first printed version is A Gest of Robyn Hode (c. 1500), a collection of separate stories that attempts to unite the episodes into a single continuous narrative.[22] After this comes "Robin Hood and the Potter",[23] contained in a manuscript of c. 1503. "The Potter" is markedly different in tone from "The Monk": whereas the earlier tale is "a thriller"[24] the latter is more comic, its plot involving trickery and cunning rather than straightforward force.
|
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Other early texts are dramatic pieces, the earliest being the fragmentary Robyn Hod and the Shryff off Notyngham[25] (c. 1475). These are particularly noteworthy as they show Robin's integration into May Day rituals towards the end of the Middle Ages; Robyn Hod and the Shryff off Notyngham, among other points of interest, contains the earliest reference to Friar Tuck.
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The plots of neither "the Monk" nor "the Potter" are included in the Gest; and neither is the plot of "Robin Hood and Guy of Gisborne", which is probably at least as old as those two ballads although preserved in a more recent copy. Each of these three ballads survived in a single copy, so it is unclear how much of the medieval legend has survived, and what has survived may not be typical of the medieval legend. It has been argued that the fact that the surviving ballads were preserved in written form in itself makes it unlikely they were typical; in particular, stories with an interest for the gentry were by this view more likely to be preserved.[26] The story of Robin's aid to the 'poor knight' that takes up much of the Gest may be an example.
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The character of Robin in these first texts is rougher edged than in his later incarnations. In "Robin Hood and the Monk", for example, he is shown as quick tempered and violent, assaulting Little John for defeating him in an archery contest; in the same ballad Much the Miller's Son casually kills a 'little page' in the course of rescuing Robin Hood from prison.[27] No extant ballad early actually shows Robin Hood 'giving to the poor', although in a "A Gest of Robyn Hode" Robin does make a large loan to an unfortunate knight, which he does not in the end require to be repaid;[28] and later in the same ballad Robin Hood states his intention of giving money to the next traveller to come down the road if he happens to be poor.
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As it happens the next traveller is not poor, but it seems in context that Robin Hood is stating a general policy. The first explicit statement to the effect that Robin Hood habitually robbed from the rich to give the poor can be found in John Stow's Annales of England (1592), about a century after the publication of the Gest.[30][31] But from the beginning Robin Hood is on the side of the poor; the Gest quotes Robin Hood as instructing his men that when they rob:
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And in its final lines the Gest sums up:
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Within Robin Hood's band, medieval forms of courtesy rather than modern ideals of equality are generally in evidence. In the early ballad, Robin's men usually kneel before him in strict obedience: in A Gest of Robyn Hode the king even observes that 'His men are more at his byddynge/Then my men be at myn.' Their social status, as yeomen, is shown by their weapons: they use swords rather than quarterstaffs. The only character to use a quarterstaff in the early ballads is the potter, and Robin Hood does not take to a staff until the 17th-century Robin Hood and Little John.[32]
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The political and social assumptions underlying the early Robin Hood ballads have long been controversial. It has been influentially argued by J. C. Holt that the Robin Hood legend was cultivated in the households of the gentry, and that it would be mistaken to see in him a figure of peasant revolt. He is not a peasant but a yeoman, and his tales make no mention of the complaints of the peasants, such as oppressive taxes.[33] He appears not so much as a revolt against societal standards as an embodiment of them, being generous, pious, and courteous, opposed to stingy, worldly, and churlish foes.[34] Other scholars have by contrast stressed the subversive aspects of the legend, and see in the medieval Robin Hood ballads a plebeian literature hostile to the feudal order.[35]
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By the early 15th century at the latest, Robin Hood had become associated with May Day celebrations, with revellers dressing as Robin or as members of his band for the festivities. This was not common throughout England, but in some regions the custom lasted until Elizabethan times, and during the reign of Henry VIII, was briefly popular at court.[36] Robin was often allocated the role of a May King, presiding over games and processions, but plays were also performed with the characters in the roles,[37] sometimes performed at church ales, a means by which churches raised funds.[38]
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A complaint of 1492, brought to the Star Chamber, accuses men of acting riotously by coming to a fair as Robin Hood and his men; the accused defended themselves on the grounds that the practice was a long-standing custom to raise money for churches, and they had not acted riotously but peaceably.[39]
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It is from the association with the May Games that Robin's romantic attachment to Maid Marian (or Marion) apparently stems. A "Robin and Marion" figured in 13th-century French 'pastourelles' (of which Jeu de Robin et Marion c. 1280 is a literary version) and presided over the French May festivities, "this Robin and Marion tended to preside, in the intervals of the attempted seduction of the latter by a series of knights, over a variety of rustic pastimes".[40] In the Jeu de Robin and Marion, Robin and his companions have to rescue Marion from the clutches of a "lustful knight".[41] This play is distinct from the English legends.[36] although Dobson and Taylor regard it as 'highly probable' that this French Robin's name and functions travelled to the English May Games where they fused with the Robin Hood legend.[42] Both Robin and Marian were certainly associated with May Day festivities in England (as was Friar Tuck), but these may have been originally two distinct types of performance – Alexander Barclay in his Ship of Fools, writing in c. 1500, refers to 'some merry fytte of Maid Marian or else of Robin Hood' – but the characters were brought together.[43] Marian did not immediately gain the unquestioned role; in Robin Hood's Birth, Breeding, Valor, and Marriage, his sweetheart is "Clorinda the Queen of the Shepherdesses".[44] Clorinda survives in some later stories as an alias of Marian.[45]
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The earliest preserved script of a Robin Hood play is the fragmentary Robyn Hod and the Shryff off Notyngham[25] This apparently dates to the 1470s and circumstantial evidence suggests it was probably performed at the household of Sir John Paston. This fragment appears to tell the story of Robin Hood and Guy of Gisborne.[46] There is also an early playtext appended to a 1560 printed edition of the Gest. This includes a dramatic version of the story of Robin Hood and the Curtal Friar and a version of the first part of the story of Robin Hood and the Potter. (Neither of these ballads are known to have existed in print at the time, and there is no earlier record known of the "Curtal Friar" story). The publisher describes the text as a 'playe of Robyn Hood, verye proper to be played in Maye games', but does not seem to be aware that the text actually contains two separate plays.[47] An especial point of interest in the "Friar" play is the appearance of a ribald woman who is unnamed but apparently to be identified with the bawdy Maid Marian of the May Games.[48] She does not appear in extant versions of the ballad.
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James VI of Scotland was entertained by a Robin Hood play at Dirleton Castle produced by his favourite the Earl of Arran in May 1585, while there was plague in Edinburgh.[49]
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In 1598, Anthony Munday wrote a pair of plays on the Robin Hood legend, The Downfall and The Death of Robert Earl of Huntington (published 1601). These plays drew on a variety of sources, including apparently "A Gest of Robin Hood", and were influential in fixing the story of Robin Hood to the period of Richard I. Stephen Thomas Knight has suggested that Munday drew heavily on Fulk Fitz Warin, a historical 12th century outlawed nobleman and enemy of King John, in creating his Robin Hood.[50] The play identifies Robin Hood as Robert, Earl of Huntingdon, following in Richard Grafton's association of Robin Hood with the gentry,[51] and identifies Maid Marian with "one of the semi-mythical Matildas persecuted by King John".[52] The plays are complex in plot and form, the story of Robin Hood appearing as a play-within-a-play presented at the court of Henry VIII and written by the poet, priest and courtier John Skelton. Skelton himself is presented in the play as acting the part of Friar Tuck. Some scholars have conjectured that Skelton may have indeed written a lost Robin Hood play for Henry VIII's court, and that this play may have been one of Munday's sources.[53] Henry VIII himself with eleven of his nobles had impersonated "Robyn Hodes men" as part of his "Maying" in 1510. Robin Hood is known to have appeared in a number of other lost and extant Elizabethan plays. In 1599, the play George a Green, the Pinner of Wakefield places Robin Hood in the reign of Edward IV.[54] Edward I, a play by George Peele first performed in 1590–91, incorporates a Robin Hood game played by the characters. Llywelyn the Great, the last independent Prince of Wales, is presented playing Robin Hood.[55]
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Fixing the Robin Hood story to the 1190s had been first proposed by John Major in his Historia Majoris Britanniæ (1521), (and he also may have been influenced in so doing by the story of Warin);[50] this was the period in which King Richard was absent from the country, fighting in the Third Crusade.[56]
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William Shakespeare makes reference to Robin Hood in his late-16th-century play The Two Gentlemen of Verona. In it, the character Valentine is banished from Milan and driven out through the forest where he is approached by outlaws who, upon meeting him, desire him as their leader. They comment, "By the bare scalp of Robin Hood's fat friar, This fellow were a king for our wild faction!"[57] Robin Hood is also mentioned in As You Like It. When asked about the exiled Duke Senior, the character of Charles says that he is "already in the forest of Arden, and a many merry men with him; and there they live like the old Robin Hood of England". Justice Silence sings a line from an unnamed Robin Hood ballad, the line is "Robin Hood, Scarlet, and John" in Act 5 scene 3 of Henry IV, part 2. In Henry IV part 1 Act 3 scene 3, Falstaff refers to Maid Marian implying she is a by-word for unwomanly or unchaste behaviour.
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Ben Jonson produced the incomplete masque The Sad Shepherd, or a Tale of Robin Hood[58] in part as a satire on Puritanism. It is about half finished and writing may have been interrupted by his death in 1637. It is Jonson's only pastoral drama, it was written in sophisticated verse and included supernatural action and characters.[59] It has had little impact on the Robin Hood tradition but needs mention as the work of a major dramatist.
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The 1642 London theatre closure by the Puritans interrupted the portrayal of Robin Hood on the stage. The theatres would reopen with the Restoration in 1660. Robin Hood did not appear on the Restoration stage unless one includes "Robin Hood and his Crew of Souldiers" acted in Nottingham on the day of the coronation of Charles II in 1661. This short play adapts the story of the king's pardon of Robin Hood to refer to the Restoration.[60]
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However, Robin Hood appeared on the 18th-century stage in various farces and comic operas.[61] Alfred, Lord Tennyson would write a four act Robin Hood play at the end of the 19th century, "The Forrestors". It is fundamentally based on the Gest but follows the tradition of placing Robin Hood as the Earl of Huntingdon in the time of Richard I, and making the Sheriff of Nottingham and Prince John rivals with Robin Hood for Maid Marian's hand.[62] The return of King Richard brings about a happy ending.
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With the advent of printing came the Robin Hood broadside ballads. Exactly when they displaced the oral tradition of Robin Hood ballads is unknown but the process seems to have been completed by the end of the 16th century. Near the end of the 16th century an unpublished prose life of Robin Hood was written, and included in the Sloane Manuscript. Largely a paraphrase of the Gest, it also contains material revealing that the author was familiar with early versions of a number of the Robin Hood broadside ballads.[63] Not all of the medieval legend was preserved in the broadside ballads, there is no broadside version of Robin Hood and Guy of Gisborne or of Robin Hood and the Monk, which did not appear in print until the 18th and 19th centuries respectively. However, the Gest was reprinted from time to time throughout the 16th and 17th centuries.
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No surviving broadside ballad can be dated with certainty before the 17th century, but during that century, the commercial broadside ballad became the main vehicle for the popular Robin Hood legend.[64] These broadside ballads were in some cases newly fabricated but were mostly adaptations of the older verse narratives. The broadside ballads were fitted to a small repertoire of pre-existing tunes resulting in an increase of "stock formulaic phrases" making them "repetitive and verbose",[65] they commonly feature Robin Hood's contests with artisans: tinkers, tanners, and butchers. Among these ballads is Robin Hood and Little John telling the famous story of the quarter-staff fight between the two outlaws.
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Dobson and Taylor wrote, 'More generally the Robin of the broadsides is a much less tragic, less heroic and in the last resort less mature figure than his medieval predecessor'.[66] In most of the broadside ballads Robin Hood remains a plebeian figure, a notable exception being Martin Parker's attempt at an overall life of Robin Hood, A True Tale of Robin Hood, which also emphasises the theme of Robin Hood's generosity to the poor more than the broadsheet ballads do in general.
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The 17th century introduced the minstrel Alan-a-Dale. He first appeared in a 17th-century broadside ballad, and unlike many of the characters thus associated, managed to adhere to the legend.[44] The prose life of Robin Hood in Sloane Manuscript contains the substance of the Alan-a-Dale ballad but tells the story about Will Scarlet.
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In the 18th century, the stories began to develop a slightly more farcical vein. From this period there are a number of ballads in which Robin is severely 'drubbed' by a succession of tradesmen including a tanner, a tinker, and a ranger.[56] In fact, the only character who does not get the better of Hood is the luckless Sheriff. Yet even in these ballads Robin is more than a mere simpleton: on the contrary, he often acts with great shrewdness. The tinker, setting out to capture Robin, only manages to fight with him after he has been cheated out of his money and the arrest warrant he is carrying. In Robin Hood's Golden Prize, Robin disguises himself as a friar and cheats two priests out of their cash. Even when Robin is defeated, he usually tricks his foe into letting him sound his horn, summoning the Merry Men to his aid. When his enemies do not fall for this ruse, he persuades them to drink with him instead (see Robin Hood's Delight).
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In the 18th and 19th centuries, the Robin Hood ballads were mostly sold in "Garlands" of 16 to 24 Robin Hood ballads; these were crudely printed chap books aimed at the poor. The garlands added nothing to the substance of the legend but ensured that it continued after the decline of the single broadside ballad.[67] In the 18th century also, Robin Hood frequently appeared in criminal biographies and histories of highwaymen compendia.[68]
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In 1765, Thomas Percy (bishop of Dromore) published Reliques of Ancient English Poetry, including ballads from the 17th-century Percy Folio manuscript which had not previously been printed, most notably Robin Hood and Guy of Gisborne which is generally regarded as in substance a genuine late medieval ballad.
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In 1795, Joseph Ritson published an enormously influential edition of the Robin Hood ballads Robin Hood: A collection of all the Ancient Poems Songs and Ballads now extant, relative to that celebrated Outlaw.[69] [70] 'By providing English poets and novelists with a convenient source book, Ritson gave them the opportunity to recreate Robin Hood in their own imagination,'[71] Ritson's collection included the Gest and put the Robin Hood and the Potter ballad in print for the first time. The only significant omission was Robin Hood and the Monk which would eventually be printed in 1806. Ritson's interpretation of Robin Hood was also influential, having influenced the modern concept of stealing from the rich and giving to the poor as it exists today.[72][73][74][75] Himself a supporter of the principles of the French Revolution and admirer of Thomas Paine, Ritson held that Robin Hood was a genuinely historical, and genuinely heroic, character who had stood up against tyranny in the interests of the common people.[71]
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In his preface to the collection, Ritson assembled an account of Robin Hood's life from the various sources available to him, and concluded that Robin Hood was born in around 1160, and thus had been active in the reign of Richard I. He thought that Robin was of aristocratic extraction, with at least 'some pretension' to the title of Earl of Huntingdon, that he was born in an unlocated Nottinghamshire village of Locksley and that his original name was Robert Fitzooth. Ritson gave the date of Robin Hood's death as 18 November 1247, when he would have been around 87 years old. In copious and informative notes Ritson defends every point of his version of Robin Hood's life.[76] In reaching his conclusion Ritson relied or gave weight to a number of unreliable sources, such as the Robin Hood plays of Anthony Munday and the Sloane Manuscript. Nevertheless, Dobson and Taylor credit Ritson with having 'an incalculable effect in promoting the still continuing quest for the man behind the myth', and note that his work remains an 'indispensable handbook to the outlaw legend even now'.[77]
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Ritson's friend Walter Scott used Ritson's anthology collection as a source for his picture of Robin Hood in Ivanhoe, written in 1818, which did much to shape the modern legend.[78]
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In the 19th century, the Robin Hood legend was first specifically adapted for children. Children's editions of the garlands were produced and in 1820, a children's edition of Ritson's Robin Hood collection was published. Children's novels began to appear shortly thereafter. It is not that children did not read Robin Hood stories before, but this is the first appearance of a Robin Hood literature specifically aimed at them.[79] A very influential example of these children's novels was Pierce Egan the Younger's Robin Hood and Little John (1840).[80][81] This was adapted into French by Alexandre Dumas in Le Prince des Voleurs (1872) and Robin Hood Le Proscrit (1873). Egan made Robin Hood of noble birth but raised by the forestor Gilbert Hood.
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Another very popular version for children was Howard Pyle's The Merry Adventures of Robin Hood, which influenced accounts of Robin Hood through the 20th century.[82] Pyle's version firmly stamp Robin as a staunch philanthropist, a man who takes from the rich to give to the poor. Nevertheless, the adventures are still more local than national in scope: while King Richard's participation in the Crusades is mentioned in passing, Robin takes no stand against Prince John, and plays no part in raising the ransom to free Richard. These developments are part of the 20th-century Robin Hood myth. Pyle's Robin Hood is a yeoman and not an aristocrat.
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The idea of Robin Hood as a high-minded Saxon fighting Norman lords also originates in the 19th century. The most notable contributions to this idea of Robin are Jacques Nicolas Augustin Thierry's Histoire de la Conquête de l'Angleterre par les Normands (1825) and Sir Walter Scott's Ivanhoe (1819). In this last work in particular, the modern Robin Hood—'King of Outlaws and prince of good fellows!' as Richard the Lionheart calls him—makes his debut.[83]
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The 20th century grafted still further details on to the original legends. The 1938 film, The Adventures of Robin Hood, starring Errol Flynn and Olivia de Havilland, portrayed Robin as a hero on a national scale, leading the oppressed Saxons in revolt against their Norman overlords while Richard the Lionheart fought in the Crusades; this movie established itself so definitively that many studios resorted to movies about his son (invented for that purpose) rather than compete with the image of this one.[84]
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In 1953, during the McCarthy era, the Republican members of the Indiana Textbook Commission called for a ban of Robin Hood from all Indiana school books for promoting communism because he stole from the rich to give to the poor.[85][86]
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In the 1973 animated Disney film, Robin Hood, the title character is portrayed as an anthropomorphic fox voiced by Brian Bedford. Years before Robin Hood had even entered production, Disney had considered doing a project on Reynard the Fox. However, due to concerns that Reynard was unsuitable as a hero, animator Ken Anderson adapted some elements from Reynard into Robin Hood, thus making the title character a fox.[87]
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The 1976 British-American film Robin and Marian, starring Sean Connery as Robin Hood and Audrey Hepburn as Maid Marian, portrays the figures in later years after Robin has returned from service with Richard the Lionheart in a foreign crusade and Marian has gone into seclusion in a nunnery. This is the first in popular culture to portray King Richard as less than perfect.
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Since the 1980s, it has become commonplace to include a Saracen (Arab/Muslim) among the Merry Men, a trend that began with the character Nasir in the 1984 ITV Robin of Sherwood television series. Later versions of the story have followed suit: the 1991 movie Robin Hood: Prince of Thieves and 2006 BBC TV series Robin Hood each contain equivalents of Nasir, in the figures of Azeem and Djaq, respectively.[84] Spoofs have also followed this trend, with the 1990s BBC sitcom Maid Marian and her Merry Men parodying the Moorish character with Barrington, a Rastafarian rapper played by Danny John-Jules,[88] and Mel Brooks comedy Robin Hood: Men in Tights featuring Isaac Hayes as Asneeze and Dave Chappelle as his son Ahchoo. The 2010 movie version Robin Hood, did not include a Saracen character. The 2018 adaptation Robin Hood portrays the character of Little John as a Muslim named Yahya, played by Jamie Foxx. The character Azeem in the 1991 movie Robin Hood: Prince of Thieves was originally called Nasir, until a crew member who had worked on Robin of Sherwood pointed out that the Nasir character was not part of the original legend and was created for the show Robin of Sherwood. The name was immediately changed to Azeem to avoid any potential copyright issues.[citation needed]
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Between 1963 and 1966, French television broadcast a medievalist series entitled Thierry La Fronde (Thierry the Sling). This successful series, which was also shown in Canada, Poland (Thierry Śmiałek), Australia (The King's Outlaw), and the Netherlands (Thierry de Slingeraar), transposes the English Robin Hood narrative into late medieval France during the Hundred Years' War.[89]
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The historicity of Robin Hood has been debated for centuries. A difficulty with any such historical research is that Robert was a very common given name in medieval England, and 'Robin' (or Robyn) was its very common diminutive, especially in the 13th century;[90] it is a French hypocorism,[91] already mentioned in the Roman de Renart in the 12th century. The surname Hood (or Hude, Hode, etc.) was also fairly common because it referred either to a hooder, who was a maker of hoods, or alternatively to somebody who wore a hood as a head-covering. It is therefore unsurprising that medieval records mention a number of people called 'Robert Hood' or 'Robin Hood', some of whom are known to have fallen foul of the law.
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Another view on the origin of the name is expressed in the 1911 Encyclopædia Britannica which remarks that 'hood' was a common dialectical form of 'wood'; and that the outlaw's name has been given as 'Robin Wood'.[92] There are a number of references to Robin Hood as Robin Wood, or Whood, or Whod, from the 16th and 17th centuries. The earliest recorded example, in connection with May games in Somerset, dates from 1518.[93]
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The oldest references to Robin Hood are not historical records, or even ballads recounting his exploits, but hints and allusions found in various works. From 1261 onward, the names "Robinhood", "Robehod", or "Robbehod" occur in the rolls of several English Justices as nicknames or descriptions of malefactors. The majority of these references date from the late 13th century. Between 1261 and 1300, there are at least eight references to "Rabunhod" in various regions across England, from Berkshire in the south to York in the north.[24]
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Leaving aside the reference to the "rhymes" of Robin Hood in Piers Plowman in the 1370s,[94][95] and the scattered mentions of his "tales and songs" in various religious tracts dating to the early 1400s,[96][97][98] the first mention of a quasi-historical Robin Hood is given in Andrew of Wyntoun's Orygynale Chronicle, written in about 1420. The following lines occur with little contextualisation under the year 1283:
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In a petition presented to Parliament in 1439, the name is used to describe an itinerant felon. The petition cites one Piers Venables of Aston, Derbyshire, "who having no liflode, ne sufficeante of goodes, gadered and assembled unto him many misdoers, beynge of his clothynge, and, in manere of insurrection, wente into the wodes in that countrie, like as it hadde be Robyn Hude and his meyne."[100]
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The next historical description of Robin Hood is a statement in the Scotichronicon, composed by John of Fordun between 1377 and 1384, and revised by Walter Bower in about 1440. Among Bower's many interpolations is a passage that directly refers to Robin. It is inserted after Fordun's account of the defeat of Simon de Montfort and the punishment of his adherents, and is entered under the year 1266 in Bower's account. Robin is represented as a fighter for de Montfort's cause.[101] This was in fact true of the historical outlaw of Sherwood Forest Roger Godberd, whose points of similarity to the Robin Hood of the ballads have often been noted.[102][103]
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The word translated here as 'murderer' is the Latin sicarius (literally 'dagger-man'), from the Latin sica for 'dagger', and descends from its use to describe the Sicarii, assassins operating in Roman Judea. Bower goes on to relate an anecdote about Robin Hood in which he refuses to flee from his enemies while hearing Mass in the greenwood, and then gains a surprise victory over them, apparently as a reward for his piety; the mention of "tragedies" suggests that some form of the tale relating his death, as per A Gest of Robyn Hode, might have been in currency already.[105]
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Another reference, discovered by Julian Luxford in 2009, appears in the margin of the "Polychronicon" in the Eton College library. Written around the year 1460 by a monk in Latin, it says:
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Following this, John Major mentions Robin Hood within his Historia Majoris Britanniæ (1521), casting him in a positive light by mentioning his and his followers' aversion to bloodshed and ethos of only robbing the wealthy; Major also fixed his floruit not to the mid-13th century but the reigns of Richard I of England and his brother, King John.[50] Richard Grafton, in his Chronicle at Large (1569) went further when discussing Major's description of "Robert Hood", identifying him for the first time as a member of the gentry, albeit possibly "being of a base stock and linaege, was for his manhood and chivalry advanced to the noble dignity of an Earl" and not the yeomanry, foreshadowing Anthony Munday's casting of him as the dispossed Earl of Huntingdon.[107] The name nevertheless still had a reputation of sedition and treachery in 1605, when Guy Fawkes and his associates were branded "Robin Hoods" by Robert Cecil. In 1644, jurist Edward Coke described Robin Hood as a historical figure who had operated in the reign of King Richard I around Yorkshire; he interpreted the contemporary term "roberdsmen" (outlaws) as meaning followers of Robin Hood.[108]
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The earliest known legal records mentioning a person called Robin Hood (Robert Hod) are from 1226, found in the York Assizes, when that person's goods, worth 32 shillings and 6 pence, were confiscated and he became an outlaw. Robert Hod owed the money to St Peter's in York. The following year, he was called "Hobbehod", and also came to known as "Robert Hood". Robert Hod of York is the only early Robin Hood known to have been an outlaw. L.V.D. Owen in 1936 floated the idea that Robin Hood might be identified with an outlawed Robert Hood, or Hod, or Hobbehod, all apparently the same man, referred to in nine successive Yorkshire Pipe Rolls between 1226 and 1234.[109][110] There is no evidence however that this Robert Hood, although an outlaw, was also a bandit.[111]
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Historian Oscar de Ville discusses the career of John Deyville and his brother Robert, along with their kinsmen Jocelin and Adam, during the Second Barons' War, specifically their activities after the Battle of Evesham. John Deyville was granted authority by the faction led by Simon de Montfort, 6th Earl of Leicester over York Castle and the Northern Forests during the war in which they sought refuge after Evesham. John, along with his relatives, led the remaining rebel faction on the Isle of Ely following the Dictum of Kenilworth.[112] De Ville connects their presence there with Bower's mention of "Robert Hood" during the aftermath of Evesham in his annotations to the Scotichronicon.
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While John was eventually pardoned and continued his career until 1290, his kinsmen are no longer mentioned by historical records after the events surrounding their resistance at Ely, and de Ville speculates that Robert remained an outlaw. Other points de Ville raises in support of John and his brothers' exploits forming the inspiration for Robin Hood include their properties in Barnsdale, John's settlement of a mortgage worth £400 paralleling Robin Hood's charity of identical value to Sir Richard at the Lee, relationship with Sir Richard Foliot, a possible inspiration for the former figure, and ownership of a fortified home at Hood Hill, near Kilburn, North Yorkshire. The last of these is suggested to be the inspiration for Robin Hood's second name as opposed to the more common theory of a head covering.[113] Perhaps not coincidentally, a "Robertus Hod" is mentioned in records among the holdouts at Ely.[114]
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Although de Ville does not explicitly connect John and Robert Deyville to Robin Hood, he discusses these parallels in detail and suggests that they formed prototypes for this ideal of heroic outlawry during the tumultuous reign of Henry III's grandson and Edward I's son, Edward II of England.[115]
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David Baldwin identifies Robin Hood with the historical outlaw Roger Godberd, who was a die-hard supporter of Simon de Montfort, which would place Robin Hood around the 1260s.[116][117] There are certainly parallels between Godberd's career and that of Robin Hood as he appears in the Gest. John Maddicott has called Godberd "that prototype Robin Hood".[118] Some problems with this theory are that there is no evidence that Godberd was ever known as Robin Hood and no sign in the early Robin Hood ballads of the specific concerns of de Montfort's revolt.[119]
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The antiquarian Joseph Hunter (1783–1861) believed that Robin Hood had inhabited the forests of Yorkshire during the early decades of the fourteenth century. Hunter pointed to two men whom, believing them to be the same person, he identified with the legendary outlaw:
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Hunter developed a fairly detailed theory implying that Robert Hood had been an adherent of the rebel Earl of Lancaster, who was defeated by Edward II at the Battle of Boroughbridge in 1322. According to this theory, Robert Hood was thereafter pardoned and employed as a bodyguard by King Edward, and in consequence he appears in the 1323 court roll under the name of "Robyn Hode". Hunter's theory has long been recognised to have serious problems, one of the most serious being that recent research has shown that Hunter's Robyn Hood had been employed by the king before he appeared in the 1323 court roll, thus casting doubt on this Robyn Hood's supposed earlier career as outlaw and rebel.[120]
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It has long been suggested, notably by John Maddicott, that "Robin Hood" was a stock alias used by thieves.[121] What appears to be the first known example of "Robin Hood" as a stock name for an outlaw dates to 1262 in Berkshire, where the surname "Robehod" was applied to a man apparently because he had been outlawed.[122] This could suggest two main possibilities: either that an early form of the Robin Hood legend was already well established in the mid-13th century; or alternatively that the name "Robin Hood" preceded the outlaw hero that we know; so that the "Robin Hood" of legend was so called because that was seen as an appropriate name for an outlaw.
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There is at present little or no scholarly support for the view that tales of Robin Hood have stemmed from mythology or folklore, from fairies or other mythological origins, any such associations being regarded as later development.[123][124] It was once a popular view, however.[92] The "mythological theory" dates back at least to 1584, when Reginald Scot identified Robin Hood with the Germanic goblin "Hudgin" or Hodekin and associated him with Robin Goodfellow.[125] Maurice Keen[126] provides a brief summary and useful critique of the evidence for the view Robin Hood had mythological origins. While the outlaw often shows great skill in archery, swordplay and disguise, his feats are no more exaggerated than those of characters in other ballads, such as Kinmont Willie, which were based on historical events.[127]
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Robin Hood has also been claimed for the pagan witch-cult supposed by Margaret Murray to have existed in medieval Europe, and his anti-clericalism and Marianism interpreted in this light.[128] The existence of the witch cult as proposed by Murray is now generally discredited.
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The early ballads link Robin Hood to identifiable real places. In popular culture, Robin Hood and his band of "merry men" are portrayed as living in Sherwood Forest, in Nottinghamshire.[129] Notably, the Lincoln Cathedral Manuscript, which is the first officially recorded Robin Hood song (dating from approximately 1420), makes an explicit reference to the outlaw that states that "Robyn hode in scherewode stod".[130] In a similar fashion, a monk of Witham Priory (1460) suggested that the archer had 'infested shirwode'. His chronicle entry reads:
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Specific sites in the county of Nottinghamshire that are directly linked to the Robin Hood legend include Robin Hood's Well, located near Newstead Abbey (within the boundaries of Sherwood Forest), the Church of St. Mary in the village of Edwinstowe and most famously of all, the Major Oak also located at the village of Edwinstowe.[132] The Major Oak, which resides in the heart of Sherwood Forest, is popularly believed to have been used by the Merry Men as a hide-out. Dendrologists have contradicted this claim by estimating the tree's true age at around eight hundred years; it would have been relatively a sapling in Robin's time, at best.[133]
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Nottinghamshire's claim to Robin Hood's heritage is disputed, with Yorkists staking a claim to the outlaw. In demonstrating Yorkshire's Robin Hood heritage, the historian J. C. Holt drew attention to the fact that although Sherwood Forest is mentioned in Robin Hood and the Monk, there is little information about the topography of the region, and thus suggested that Robin Hood was drawn to Nottinghamshire through his interactions with the city's sheriff.[134] Moreover, the linguist Lister Matheson has observed that the language of the Gest of Robyn Hode is written in a definite northern dialect, probably that of Yorkshire.[135] In consequence, it seems probable that the Robin Hood legend actually originates from the county of Yorkshire. Robin Hood's Yorkshire origins are generally accepted by professional historians.[136]
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A tradition dating back at least to the end of the 16th century gives Robin Hood's birthplace as Loxley, Sheffield, in South Yorkshire. The original Robin Hood ballads, which originate from the fifteenth century, set events in the medieval forest of Barnsdale. Barnsdale was a wooded area covering an expanse of no more than thirty square miles, ranging six miles from north to south, with the River Went at Wentbridge near Pontefract forming its northern boundary and the villages of Skelbrooke and Hampole forming the southernmost region. From east to west the forest extended about five miles, from Askern on the east to Badsworth in the west.[137] At the northernmost edge of the forest of Barnsdale, in the heart of the Went Valley, resides the village of Wentbridge. Wentbridge is a village in the City of Wakefield district of West Yorkshire, England. It lies around 3 miles (5 km) southeast of its nearest township of size, Pontefract, close to the A1 road. During the medieval age Wentbridge was sometimes locally referred to by the name of Barnsdale because it was the predominant settlement in the forest.[138] Wentbridge is mentioned in an early Robin Hood ballad, entitled, Robin Hood and the Potter, which reads, "Y mete hem bot at Went breg,' syde Lyttyl John". And, while Wentbridge is not directly named in A Gest of Robyn Hode, the poem does appear to make a cryptic reference to the locality by depicting a poor knight explaining to Robin Hood that he 'went at a bridge' where there was wrestling'.[139] A commemorative Blue Plaque has been placed on the bridge that crosses the River Went by Wakefield City Council.
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The Gest makes a specific reference to the Saylis at Wentbridge. Credit is due to the nineteenth-century antiquarian Joseph Hunter, who correctly identified the site of the Saylis.[140] From this location it was once possible to look out over the Went Valley and observe the traffic that passed along the Great North Road. The Saylis is recorded as having contributed towards the aid that was granted to Edward III in 1346–47 for the knighting of the Black Prince. An acre of landholding is listed within a glebe terrier of 1688 relating to Kirk Smeaton, which later came to be called "Sailes Close".[141] Professor Dobson and Mr. Taylor indicate that such evidence of continuity makes it virtually certain that the Saylis that was so well known to Robin Hood is preserved today as "Sayles Plantation".[142] It is this location that provides a vital clue to Robin Hood's Yorkshire heritage. One final locality in the forest of Barnsdale that is associated with Robin Hood is the village of Campsall.
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The historian John Paul Davis wrote of Robin's connection to the Church of Saint Mary Magdalene at Campsall in South Yorkshire.[143] A Gest of Robyn Hode states that the outlaw built a chapel in Barnsdale that he dedicated to Mary Magdalene:
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Davis indicates that there is only one church dedicated to Mary Magdalene within what one might reasonably consider to have been the medieval forest of Barnsdale, and that is the church at Campsall. The church was built in the late eleventh century by Robert de Lacy, the 2nd Baron of Pontefract.[145][146] Local legend suggests that Robin Hood and Maid Marion were married at the church.
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The backdrop of St Mary's Abbey, York plays a central role in the Gest as the poor knight whom Robin aids owes money to the abbot.
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At Kirklees Priory in West Yorkshire stands an alleged grave with a spurious inscription, which relates to Robin Hood. The fifteenth-century ballads relate that before he died, Robin told Little John where to bury him. He shot an arrow from the Priory window, and where the arrow landed was to be the site of his grave. The Gest states that the Prioress was a relative of Robin's. Robin was ill and staying at the Priory where the Prioress was supposedly caring for him. However, she betrayed him, his health worsened, and he eventually died there. The inscription on the grave reads,
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Despite the unconventional spelling, the verse is in Modern English, not the Middle English of the 13th century. The date is also incorrectly formatted – using the Roman calendar, "24 kal Decembris" would be the twenty-third day before the beginning of December, that is, 8 November. The tomb probably dates from the late eighteenth century.[147]
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The grave with the inscription is within sight of the ruins of the Kirklees Priory, behind the Three Nuns pub in Mirfield, West Yorkshire. Though local folklore suggests that Robin is buried in the grounds of Kirklees Priory, this theory has now largely been abandoned by professional historians.
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Another theory is that Robin Hood died at Kirkby, Pontefract. Michael Drayton's Poly-Olbion Song 28 (67–70), published in 1622, speaks of Robin Hood's death and clearly states that the outlaw died at 'Kirkby'.[148] This is consistent with the view that Robin Hood operated in the Went Valley, located three miles to the southeast of the town of Pontefract. The location is approximately three miles from the site of Robin's robberies at the now famous Saylis. In the Anglo-Saxon period, Kirkby was home to All Saints' Church, Pontefract. All Saints' Church had a priory hospital attached to it. The Tudor historian Richard Grafton stated that the prioress who murdered Robin Hood buried the outlaw beside the road,
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Where he had used to rob and spoyle those that passed that way ... and the cause why she buryed him there was, for that common strangers and travailers, knowing and seeing him there buryed, might more safely and without feare take their journeys that way, which they durst not do in the life of the sayd outlaes.[149]
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All Saints' Church at Kirkby, modern Pontefract, which was located approximately three miles from the site of Robin Hood's robberies at the Saylis, is consistent with Richard Grafton's description because a road ran directly from Wentbridge to the hospital at Kirkby.[150]
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Within close proximity of Wentbridge reside several notable landmarks relating to Robin Hood. One such place-name location occurred in a cartulary deed of 1422 from Monkbretton Priory, which makes direct reference to a landmark named Robin Hood's Stone, which resided upon the eastern side of the Great North Road, a mile south of Barnsdale Bar.[151] The historians Barry Dobson and John Taylor suggested that on the opposite side of the road once stood Robin Hood's Well, which has since been relocated six miles north-west of Doncaster, on the south-bound side of the Great North Road. Over the next three centuries, the name popped-up all over the place, such as at Robin Hood's Bay, near Whitby in Yorkshire, Robin Hood's Butts in Cumbria, and Robin Hood's Walk at Richmond, Surrey.
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Robin Hood type place-names occurred particularly everywhere except Sherwood. The first place-name in Sherwood does not appear until the year 1700.[152] The fact that the earliest Robin Hood type place-names originated in West Yorkshire is deemed to be historically significant because, generally, place-name evidence originates from the locality where legends begin.[153] The overall picture from the surviving early ballads and other early references[154] indicate that Robin Hood was based in the Barnsdale area of what is now South Yorkshire, which borders Nottinghamshire.
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The Sheriff of Nottingham also had jurisdiction in Derbyshire that was known as the "Shire of the Deer", and this is where the Royal Forest of the Peak is found, which roughly corresponds to today's Peak District National Park. The Royal Forest included Bakewell, Tideswell, Castleton, Ladybower and the Derwent Valley near Loxley. The Sheriff of Nottingham possessed property near Loxley, among other places both far and wide including Hazlebadge Hall, Peveril Castle and Haddon Hall. Mercia, to which Nottingham belonged, came to within three miles of Sheffield City Centre. But before the Law of the Normans was the Law of the Danes, The Danelaw had a similar boundary to that of Mercia but had a population of Free Peasantry that were known to have resisted the Norman occupation. Many outlaws could have been created by the refusal to recognise Norman Forest Law.[155] The supposed grave of Little John can be found in Hathersage, also in the Peak District.
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Further indications of the legend's connection with West Yorkshire (and particularly Calderdale) are noted in the fact that there are pubs called the Robin Hood in both nearby Brighouse and at Cragg Vale; higher up in the Pennines beyond Halifax, where Robin Hood Rocks can also be found. Robin Hood Hill is near Outwood, West Yorkshire, not far from Lofthouse. There is a village in West Yorkshire called Robin Hood, on the A61 between Leeds and Wakefield and close to Rothwell and Lofthouse. Considering these references to Robin Hood, it is not surprising that the people of both South and West Yorkshire lay some claim to Robin Hood, who, if he existed, could easily have roamed between Nottingham, Lincoln, Doncaster and right into West Yorkshire.
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A British Army Territorial (reserves) battalion formed in Nottingham in 1859 was known as The Robin Hood Battalion through various reorganisations until the "Robin Hood" name finally disappeared in 1992. With the 1881 Childers Reforms that linked regular and reserve units into regimental families, the Robin Hood Battalion became part of The Sherwood Foresters (Nottinghamshire and Derbyshire Regiment).
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A Neolithic causewayed enclosure on Salisbury Plain has acquired the name Robin Hood's Ball, although had Robin Hood existed it is doubtful that he would have travelled so far south.
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Ballads dating back to the 15th century are the oldest existing form of the Robin Hood legends, although none of them were recorded at the time of the first allusions to him, and many are from much later. They share many common features, often opening with praise of the greenwood and relying heavily on disguise as a plot device, but include a wide variation in tone and plot.[156] The ballads are sorted into three groups, very roughly according to date of first known free-standing copy. Ballads whose first recorded version appears (usually incomplete) in the Percy Folio may appear in later versions[157] and may be much older than the mid-17th century when the Folio was compiled. Any ballad may be older than the oldest copy that happens to survive, or descended from a lost older ballad. For example, the plot of Robin Hood's Death, found in the Percy Folio, is summarised in the 15th-century A Gest of Robyn Hode, and it also appears in an 18th-century version.[158]
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NB. The first two ballads listed here (the "Death" and "Gisborne"), although preserved in 17th-century copies, are generally agreed to preserve the substance of late medieval ballads. The third (the "Curtal Friar") and the fourth (the "Butcher"), also probably have late medieval origins.[159]
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Some ballads, such as Erlinton, feature Robin Hood in some variants, where the folk hero appears to be added to a ballad pre-existing him and in which he does not fit very well.[160] He was added to one variant of Rose Red and the White Lily, apparently on no more connection than that one hero of the other variants is named "Brown Robin".[161] Francis James Child indeed retitled Child ballad 102; though it was titled The Birth of Robin Hood, its clear lack of connection with the Robin Hood cycle (and connection with other, unrelated ballads) led him to title it Willie and Earl Richard's Daughter in his collection.[162]
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Robin Hood is a legendary heroic outlaw originally depicted in English folklore and subsequently featured in literature and film. According to legend, he was a highly skilled archer and swordsman. In some versions of the legend, he is depicted as being of noble birth, and in modern retellings he is sometimes depicted as having fought in the Crusades before returning to England to find his lands taken by the Sheriff. In the oldest known versions he is instead a member of the yeoman class. Traditionally depicted dressed in Lincoln green, he is said to have robbed from the rich and given to the poor.
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Through retellings, additions, and variations, a body of familiar characters associated with Robin Hood has been created. These include his lover, Maid Marian, his band of outlaws, the Merry Men, and his chief opponent, the Sheriff of Nottingham. The Sheriff is often depicted as assisting Prince John in usurping the rightful but absent King Richard, to whom Robin Hood remains loyal. His partisanship of the common people and his hostility to the Sheriff of Nottingham are early recorded features of the legend, but his interest in the rightfulness of the king is not, and neither is his setting in the reign of Richard I. He became a popular folk figure in the Late Middle Ages, and the earliest known ballads featuring him are from the 15th century (1400s).
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There have been numerous variations and adaptations of the story over the subsequent years, and the story continues to be widely represented in literature, film, and television. Robin Hood is considered one of the best known tales of English folklore.
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The historicity of Robin Hood is not proven and has been debated for centuries. There are numerous references to historical figures with similar names that have been proposed as possible evidence of his existence, some dating back to the late 13th century. At least eight plausible origins to the story have been mooted by historians and folklorists, including suggestions that "Robin Hood" was a stock alias used by or in reference to bandits.
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The first clear reference to "rhymes of Robin Hood" is from the alliterative poem Piers Plowman, thought to have been composed in the 1370s, followed shortly afterwards by a quotation of a later common proverb,[1] "many men speak of Robin Hood and never shot his bow",[2] in Friar Daw's Reply (c.1402)[3] and a complaint in Dives and Pauper (1405-1410) that people would rather listen to "tales and songs of Robin Hood" than attend Mass.[4] Robin Hood is also mentioned in a famous Lollard tract (Cambridge University Library MS Ii.6.26) dated to the first half of the fifteenth century[5] (thus also possibly predating his other earliest historical mentions)[6] alongside several other folk heroes such as Guy of Warwick, Bevis of Hampton and Sir Lybeaus.[7]
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However, the earliest surviving copies of the narrative ballads that tell his story date to the second half of the 15th century, or the first decade of the 16th century. In these early accounts, Robin Hood's partisanship of the lower classes, his devotion to the Virgin Mary and associated special regard for women, his outstanding skill as an archer, his anti-clericalism, and his particular animosity towards the Sheriff of Nottingham are already clear.[8] Little John, Much the Miller's Son and Will Scarlet (as Will "Scarlok" or "Scathelocke") all appear, although not yet Maid Marian or Friar Tuck. The latter has been part of the legend since at least the later 15th century, when he is mentioned in a Robin Hood play script.[9]
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In modern popular culture, Robin Hood is typically seen as a contemporary and supporter of the late-12th-century king Richard the Lionheart, Robin being driven to outlawry during the misrule of Richard's brother John while Richard was away at the Third Crusade. This view first gained currency in the 16th century.[10] It is not supported by the earliest ballads. The early compilation, A Gest of Robyn Hode, names the king as 'Edward'; and while it does show Robin Hood accepting the King's pardon, he later repudiates it and returns to the greenwood.[11][12] The oldest surviving ballad, Robin Hood and the Monk, gives even less support to the picture of Robin Hood as a partisan of the true king. The setting of the early ballads is usually attributed by scholars to either the 13th century or the 14th, although it is recognised they are not necessarily historically consistent.[13]
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The early ballads are also quite clear on Robin Hood's social status: he is a yeoman. While the precise meaning of this term changed over time, including free retainers of an aristocrat and small landholders, it always referred to commoners. The essence of it in the present context was "neither a knight nor a peasant or 'husbonde' but something in between".[14] Artisans (such as millers) were among those regarded as 'yeomen' in the 14th century.[15] From the 16th century on, there were attempts to elevate Robin Hood to the nobility, such as in Richard Grafton's Chronicle at Large;[16] Anthony Munday presented him at the very end of the century as the Earl of Huntingdon in two extremely influential plays, as he is still commonly presented in modern times.[17]
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As well as ballads, the legend was also transmitted by 'Robin Hood games' or plays that were an important part of the late medieval and early modern May Day festivities. The first record of a Robin Hood game was in 1426 in Exeter, but the reference does not indicate how old or widespread this custom was at the time. The Robin Hood games are known to have flourished in the later 15th and 16th centuries.[18] It is commonly stated as fact that Maid Marian and a jolly friar (at least partly identifiable with Friar Tuck) entered the legend through the May Games.[19]
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The earliest surviving text of a Robin Hood ballad is the 15th-century "Robin Hood and the Monk".[20] This is preserved in Cambridge University manuscript Ff.5.48. Written after 1450,[21] it contains many of the elements still associated with the legend, from the Nottingham setting to the bitter enmity between Robin and the local sheriff.
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The first printed version is A Gest of Robyn Hode (c. 1500), a collection of separate stories that attempts to unite the episodes into a single continuous narrative.[22] After this comes "Robin Hood and the Potter",[23] contained in a manuscript of c. 1503. "The Potter" is markedly different in tone from "The Monk": whereas the earlier tale is "a thriller"[24] the latter is more comic, its plot involving trickery and cunning rather than straightforward force.
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Other early texts are dramatic pieces, the earliest being the fragmentary Robyn Hod and the Shryff off Notyngham[25] (c. 1475). These are particularly noteworthy as they show Robin's integration into May Day rituals towards the end of the Middle Ages; Robyn Hod and the Shryff off Notyngham, among other points of interest, contains the earliest reference to Friar Tuck.
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The plots of neither "the Monk" nor "the Potter" are included in the Gest; and neither is the plot of "Robin Hood and Guy of Gisborne", which is probably at least as old as those two ballads although preserved in a more recent copy. Each of these three ballads survived in a single copy, so it is unclear how much of the medieval legend has survived, and what has survived may not be typical of the medieval legend. It has been argued that the fact that the surviving ballads were preserved in written form in itself makes it unlikely they were typical; in particular, stories with an interest for the gentry were by this view more likely to be preserved.[26] The story of Robin's aid to the 'poor knight' that takes up much of the Gest may be an example.
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The character of Robin in these first texts is rougher edged than in his later incarnations. In "Robin Hood and the Monk", for example, he is shown as quick tempered and violent, assaulting Little John for defeating him in an archery contest; in the same ballad Much the Miller's Son casually kills a 'little page' in the course of rescuing Robin Hood from prison.[27] No extant ballad early actually shows Robin Hood 'giving to the poor', although in a "A Gest of Robyn Hode" Robin does make a large loan to an unfortunate knight, which he does not in the end require to be repaid;[28] and later in the same ballad Robin Hood states his intention of giving money to the next traveller to come down the road if he happens to be poor.
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As it happens the next traveller is not poor, but it seems in context that Robin Hood is stating a general policy. The first explicit statement to the effect that Robin Hood habitually robbed from the rich to give the poor can be found in John Stow's Annales of England (1592), about a century after the publication of the Gest.[30][31] But from the beginning Robin Hood is on the side of the poor; the Gest quotes Robin Hood as instructing his men that when they rob:
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And in its final lines the Gest sums up:
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Within Robin Hood's band, medieval forms of courtesy rather than modern ideals of equality are generally in evidence. In the early ballad, Robin's men usually kneel before him in strict obedience: in A Gest of Robyn Hode the king even observes that 'His men are more at his byddynge/Then my men be at myn.' Their social status, as yeomen, is shown by their weapons: they use swords rather than quarterstaffs. The only character to use a quarterstaff in the early ballads is the potter, and Robin Hood does not take to a staff until the 17th-century Robin Hood and Little John.[32]
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The political and social assumptions underlying the early Robin Hood ballads have long been controversial. It has been influentially argued by J. C. Holt that the Robin Hood legend was cultivated in the households of the gentry, and that it would be mistaken to see in him a figure of peasant revolt. He is not a peasant but a yeoman, and his tales make no mention of the complaints of the peasants, such as oppressive taxes.[33] He appears not so much as a revolt against societal standards as an embodiment of them, being generous, pious, and courteous, opposed to stingy, worldly, and churlish foes.[34] Other scholars have by contrast stressed the subversive aspects of the legend, and see in the medieval Robin Hood ballads a plebeian literature hostile to the feudal order.[35]
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By the early 15th century at the latest, Robin Hood had become associated with May Day celebrations, with revellers dressing as Robin or as members of his band for the festivities. This was not common throughout England, but in some regions the custom lasted until Elizabethan times, and during the reign of Henry VIII, was briefly popular at court.[36] Robin was often allocated the role of a May King, presiding over games and processions, but plays were also performed with the characters in the roles,[37] sometimes performed at church ales, a means by which churches raised funds.[38]
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A complaint of 1492, brought to the Star Chamber, accuses men of acting riotously by coming to a fair as Robin Hood and his men; the accused defended themselves on the grounds that the practice was a long-standing custom to raise money for churches, and they had not acted riotously but peaceably.[39]
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It is from the association with the May Games that Robin's romantic attachment to Maid Marian (or Marion) apparently stems. A "Robin and Marion" figured in 13th-century French 'pastourelles' (of which Jeu de Robin et Marion c. 1280 is a literary version) and presided over the French May festivities, "this Robin and Marion tended to preside, in the intervals of the attempted seduction of the latter by a series of knights, over a variety of rustic pastimes".[40] In the Jeu de Robin and Marion, Robin and his companions have to rescue Marion from the clutches of a "lustful knight".[41] This play is distinct from the English legends.[36] although Dobson and Taylor regard it as 'highly probable' that this French Robin's name and functions travelled to the English May Games where they fused with the Robin Hood legend.[42] Both Robin and Marian were certainly associated with May Day festivities in England (as was Friar Tuck), but these may have been originally two distinct types of performance – Alexander Barclay in his Ship of Fools, writing in c. 1500, refers to 'some merry fytte of Maid Marian or else of Robin Hood' – but the characters were brought together.[43] Marian did not immediately gain the unquestioned role; in Robin Hood's Birth, Breeding, Valor, and Marriage, his sweetheart is "Clorinda the Queen of the Shepherdesses".[44] Clorinda survives in some later stories as an alias of Marian.[45]
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The earliest preserved script of a Robin Hood play is the fragmentary Robyn Hod and the Shryff off Notyngham[25] This apparently dates to the 1470s and circumstantial evidence suggests it was probably performed at the household of Sir John Paston. This fragment appears to tell the story of Robin Hood and Guy of Gisborne.[46] There is also an early playtext appended to a 1560 printed edition of the Gest. This includes a dramatic version of the story of Robin Hood and the Curtal Friar and a version of the first part of the story of Robin Hood and the Potter. (Neither of these ballads are known to have existed in print at the time, and there is no earlier record known of the "Curtal Friar" story). The publisher describes the text as a 'playe of Robyn Hood, verye proper to be played in Maye games', but does not seem to be aware that the text actually contains two separate plays.[47] An especial point of interest in the "Friar" play is the appearance of a ribald woman who is unnamed but apparently to be identified with the bawdy Maid Marian of the May Games.[48] She does not appear in extant versions of the ballad.
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James VI of Scotland was entertained by a Robin Hood play at Dirleton Castle produced by his favourite the Earl of Arran in May 1585, while there was plague in Edinburgh.[49]
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In 1598, Anthony Munday wrote a pair of plays on the Robin Hood legend, The Downfall and The Death of Robert Earl of Huntington (published 1601). These plays drew on a variety of sources, including apparently "A Gest of Robin Hood", and were influential in fixing the story of Robin Hood to the period of Richard I. Stephen Thomas Knight has suggested that Munday drew heavily on Fulk Fitz Warin, a historical 12th century outlawed nobleman and enemy of King John, in creating his Robin Hood.[50] The play identifies Robin Hood as Robert, Earl of Huntingdon, following in Richard Grafton's association of Robin Hood with the gentry,[51] and identifies Maid Marian with "one of the semi-mythical Matildas persecuted by King John".[52] The plays are complex in plot and form, the story of Robin Hood appearing as a play-within-a-play presented at the court of Henry VIII and written by the poet, priest and courtier John Skelton. Skelton himself is presented in the play as acting the part of Friar Tuck. Some scholars have conjectured that Skelton may have indeed written a lost Robin Hood play for Henry VIII's court, and that this play may have been one of Munday's sources.[53] Henry VIII himself with eleven of his nobles had impersonated "Robyn Hodes men" as part of his "Maying" in 1510. Robin Hood is known to have appeared in a number of other lost and extant Elizabethan plays. In 1599, the play George a Green, the Pinner of Wakefield places Robin Hood in the reign of Edward IV.[54] Edward I, a play by George Peele first performed in 1590–91, incorporates a Robin Hood game played by the characters. Llywelyn the Great, the last independent Prince of Wales, is presented playing Robin Hood.[55]
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Fixing the Robin Hood story to the 1190s had been first proposed by John Major in his Historia Majoris Britanniæ (1521), (and he also may have been influenced in so doing by the story of Warin);[50] this was the period in which King Richard was absent from the country, fighting in the Third Crusade.[56]
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William Shakespeare makes reference to Robin Hood in his late-16th-century play The Two Gentlemen of Verona. In it, the character Valentine is banished from Milan and driven out through the forest where he is approached by outlaws who, upon meeting him, desire him as their leader. They comment, "By the bare scalp of Robin Hood's fat friar, This fellow were a king for our wild faction!"[57] Robin Hood is also mentioned in As You Like It. When asked about the exiled Duke Senior, the character of Charles says that he is "already in the forest of Arden, and a many merry men with him; and there they live like the old Robin Hood of England". Justice Silence sings a line from an unnamed Robin Hood ballad, the line is "Robin Hood, Scarlet, and John" in Act 5 scene 3 of Henry IV, part 2. In Henry IV part 1 Act 3 scene 3, Falstaff refers to Maid Marian implying she is a by-word for unwomanly or unchaste behaviour.
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Ben Jonson produced the incomplete masque The Sad Shepherd, or a Tale of Robin Hood[58] in part as a satire on Puritanism. It is about half finished and writing may have been interrupted by his death in 1637. It is Jonson's only pastoral drama, it was written in sophisticated verse and included supernatural action and characters.[59] It has had little impact on the Robin Hood tradition but needs mention as the work of a major dramatist.
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The 1642 London theatre closure by the Puritans interrupted the portrayal of Robin Hood on the stage. The theatres would reopen with the Restoration in 1660. Robin Hood did not appear on the Restoration stage unless one includes "Robin Hood and his Crew of Souldiers" acted in Nottingham on the day of the coronation of Charles II in 1661. This short play adapts the story of the king's pardon of Robin Hood to refer to the Restoration.[60]
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However, Robin Hood appeared on the 18th-century stage in various farces and comic operas.[61] Alfred, Lord Tennyson would write a four act Robin Hood play at the end of the 19th century, "The Forrestors". It is fundamentally based on the Gest but follows the tradition of placing Robin Hood as the Earl of Huntingdon in the time of Richard I, and making the Sheriff of Nottingham and Prince John rivals with Robin Hood for Maid Marian's hand.[62] The return of King Richard brings about a happy ending.
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With the advent of printing came the Robin Hood broadside ballads. Exactly when they displaced the oral tradition of Robin Hood ballads is unknown but the process seems to have been completed by the end of the 16th century. Near the end of the 16th century an unpublished prose life of Robin Hood was written, and included in the Sloane Manuscript. Largely a paraphrase of the Gest, it also contains material revealing that the author was familiar with early versions of a number of the Robin Hood broadside ballads.[63] Not all of the medieval legend was preserved in the broadside ballads, there is no broadside version of Robin Hood and Guy of Gisborne or of Robin Hood and the Monk, which did not appear in print until the 18th and 19th centuries respectively. However, the Gest was reprinted from time to time throughout the 16th and 17th centuries.
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No surviving broadside ballad can be dated with certainty before the 17th century, but during that century, the commercial broadside ballad became the main vehicle for the popular Robin Hood legend.[64] These broadside ballads were in some cases newly fabricated but were mostly adaptations of the older verse narratives. The broadside ballads were fitted to a small repertoire of pre-existing tunes resulting in an increase of "stock formulaic phrases" making them "repetitive and verbose",[65] they commonly feature Robin Hood's contests with artisans: tinkers, tanners, and butchers. Among these ballads is Robin Hood and Little John telling the famous story of the quarter-staff fight between the two outlaws.
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Dobson and Taylor wrote, 'More generally the Robin of the broadsides is a much less tragic, less heroic and in the last resort less mature figure than his medieval predecessor'.[66] In most of the broadside ballads Robin Hood remains a plebeian figure, a notable exception being Martin Parker's attempt at an overall life of Robin Hood, A True Tale of Robin Hood, which also emphasises the theme of Robin Hood's generosity to the poor more than the broadsheet ballads do in general.
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The 17th century introduced the minstrel Alan-a-Dale. He first appeared in a 17th-century broadside ballad, and unlike many of the characters thus associated, managed to adhere to the legend.[44] The prose life of Robin Hood in Sloane Manuscript contains the substance of the Alan-a-Dale ballad but tells the story about Will Scarlet.
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In the 18th century, the stories began to develop a slightly more farcical vein. From this period there are a number of ballads in which Robin is severely 'drubbed' by a succession of tradesmen including a tanner, a tinker, and a ranger.[56] In fact, the only character who does not get the better of Hood is the luckless Sheriff. Yet even in these ballads Robin is more than a mere simpleton: on the contrary, he often acts with great shrewdness. The tinker, setting out to capture Robin, only manages to fight with him after he has been cheated out of his money and the arrest warrant he is carrying. In Robin Hood's Golden Prize, Robin disguises himself as a friar and cheats two priests out of their cash. Even when Robin is defeated, he usually tricks his foe into letting him sound his horn, summoning the Merry Men to his aid. When his enemies do not fall for this ruse, he persuades them to drink with him instead (see Robin Hood's Delight).
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In the 18th and 19th centuries, the Robin Hood ballads were mostly sold in "Garlands" of 16 to 24 Robin Hood ballads; these were crudely printed chap books aimed at the poor. The garlands added nothing to the substance of the legend but ensured that it continued after the decline of the single broadside ballad.[67] In the 18th century also, Robin Hood frequently appeared in criminal biographies and histories of highwaymen compendia.[68]
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In 1765, Thomas Percy (bishop of Dromore) published Reliques of Ancient English Poetry, including ballads from the 17th-century Percy Folio manuscript which had not previously been printed, most notably Robin Hood and Guy of Gisborne which is generally regarded as in substance a genuine late medieval ballad.
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In 1795, Joseph Ritson published an enormously influential edition of the Robin Hood ballads Robin Hood: A collection of all the Ancient Poems Songs and Ballads now extant, relative to that celebrated Outlaw.[69] [70] 'By providing English poets and novelists with a convenient source book, Ritson gave them the opportunity to recreate Robin Hood in their own imagination,'[71] Ritson's collection included the Gest and put the Robin Hood and the Potter ballad in print for the first time. The only significant omission was Robin Hood and the Monk which would eventually be printed in 1806. Ritson's interpretation of Robin Hood was also influential, having influenced the modern concept of stealing from the rich and giving to the poor as it exists today.[72][73][74][75] Himself a supporter of the principles of the French Revolution and admirer of Thomas Paine, Ritson held that Robin Hood was a genuinely historical, and genuinely heroic, character who had stood up against tyranny in the interests of the common people.[71]
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In his preface to the collection, Ritson assembled an account of Robin Hood's life from the various sources available to him, and concluded that Robin Hood was born in around 1160, and thus had been active in the reign of Richard I. He thought that Robin was of aristocratic extraction, with at least 'some pretension' to the title of Earl of Huntingdon, that he was born in an unlocated Nottinghamshire village of Locksley and that his original name was Robert Fitzooth. Ritson gave the date of Robin Hood's death as 18 November 1247, when he would have been around 87 years old. In copious and informative notes Ritson defends every point of his version of Robin Hood's life.[76] In reaching his conclusion Ritson relied or gave weight to a number of unreliable sources, such as the Robin Hood plays of Anthony Munday and the Sloane Manuscript. Nevertheless, Dobson and Taylor credit Ritson with having 'an incalculable effect in promoting the still continuing quest for the man behind the myth', and note that his work remains an 'indispensable handbook to the outlaw legend even now'.[77]
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Ritson's friend Walter Scott used Ritson's anthology collection as a source for his picture of Robin Hood in Ivanhoe, written in 1818, which did much to shape the modern legend.[78]
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In the 19th century, the Robin Hood legend was first specifically adapted for children. Children's editions of the garlands were produced and in 1820, a children's edition of Ritson's Robin Hood collection was published. Children's novels began to appear shortly thereafter. It is not that children did not read Robin Hood stories before, but this is the first appearance of a Robin Hood literature specifically aimed at them.[79] A very influential example of these children's novels was Pierce Egan the Younger's Robin Hood and Little John (1840).[80][81] This was adapted into French by Alexandre Dumas in Le Prince des Voleurs (1872) and Robin Hood Le Proscrit (1873). Egan made Robin Hood of noble birth but raised by the forestor Gilbert Hood.
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Another very popular version for children was Howard Pyle's The Merry Adventures of Robin Hood, which influenced accounts of Robin Hood through the 20th century.[82] Pyle's version firmly stamp Robin as a staunch philanthropist, a man who takes from the rich to give to the poor. Nevertheless, the adventures are still more local than national in scope: while King Richard's participation in the Crusades is mentioned in passing, Robin takes no stand against Prince John, and plays no part in raising the ransom to free Richard. These developments are part of the 20th-century Robin Hood myth. Pyle's Robin Hood is a yeoman and not an aristocrat.
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The idea of Robin Hood as a high-minded Saxon fighting Norman lords also originates in the 19th century. The most notable contributions to this idea of Robin are Jacques Nicolas Augustin Thierry's Histoire de la Conquête de l'Angleterre par les Normands (1825) and Sir Walter Scott's Ivanhoe (1819). In this last work in particular, the modern Robin Hood—'King of Outlaws and prince of good fellows!' as Richard the Lionheart calls him—makes his debut.[83]
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The 20th century grafted still further details on to the original legends. The 1938 film, The Adventures of Robin Hood, starring Errol Flynn and Olivia de Havilland, portrayed Robin as a hero on a national scale, leading the oppressed Saxons in revolt against their Norman overlords while Richard the Lionheart fought in the Crusades; this movie established itself so definitively that many studios resorted to movies about his son (invented for that purpose) rather than compete with the image of this one.[84]
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In 1953, during the McCarthy era, the Republican members of the Indiana Textbook Commission called for a ban of Robin Hood from all Indiana school books for promoting communism because he stole from the rich to give to the poor.[85][86]
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In the 1973 animated Disney film, Robin Hood, the title character is portrayed as an anthropomorphic fox voiced by Brian Bedford. Years before Robin Hood had even entered production, Disney had considered doing a project on Reynard the Fox. However, due to concerns that Reynard was unsuitable as a hero, animator Ken Anderson adapted some elements from Reynard into Robin Hood, thus making the title character a fox.[87]
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The 1976 British-American film Robin and Marian, starring Sean Connery as Robin Hood and Audrey Hepburn as Maid Marian, portrays the figures in later years after Robin has returned from service with Richard the Lionheart in a foreign crusade and Marian has gone into seclusion in a nunnery. This is the first in popular culture to portray King Richard as less than perfect.
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Since the 1980s, it has become commonplace to include a Saracen (Arab/Muslim) among the Merry Men, a trend that began with the character Nasir in the 1984 ITV Robin of Sherwood television series. Later versions of the story have followed suit: the 1991 movie Robin Hood: Prince of Thieves and 2006 BBC TV series Robin Hood each contain equivalents of Nasir, in the figures of Azeem and Djaq, respectively.[84] Spoofs have also followed this trend, with the 1990s BBC sitcom Maid Marian and her Merry Men parodying the Moorish character with Barrington, a Rastafarian rapper played by Danny John-Jules,[88] and Mel Brooks comedy Robin Hood: Men in Tights featuring Isaac Hayes as Asneeze and Dave Chappelle as his son Ahchoo. The 2010 movie version Robin Hood, did not include a Saracen character. The 2018 adaptation Robin Hood portrays the character of Little John as a Muslim named Yahya, played by Jamie Foxx. The character Azeem in the 1991 movie Robin Hood: Prince of Thieves was originally called Nasir, until a crew member who had worked on Robin of Sherwood pointed out that the Nasir character was not part of the original legend and was created for the show Robin of Sherwood. The name was immediately changed to Azeem to avoid any potential copyright issues.[citation needed]
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Between 1963 and 1966, French television broadcast a medievalist series entitled Thierry La Fronde (Thierry the Sling). This successful series, which was also shown in Canada, Poland (Thierry Śmiałek), Australia (The King's Outlaw), and the Netherlands (Thierry de Slingeraar), transposes the English Robin Hood narrative into late medieval France during the Hundred Years' War.[89]
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The historicity of Robin Hood has been debated for centuries. A difficulty with any such historical research is that Robert was a very common given name in medieval England, and 'Robin' (or Robyn) was its very common diminutive, especially in the 13th century;[90] it is a French hypocorism,[91] already mentioned in the Roman de Renart in the 12th century. The surname Hood (or Hude, Hode, etc.) was also fairly common because it referred either to a hooder, who was a maker of hoods, or alternatively to somebody who wore a hood as a head-covering. It is therefore unsurprising that medieval records mention a number of people called 'Robert Hood' or 'Robin Hood', some of whom are known to have fallen foul of the law.
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Another view on the origin of the name is expressed in the 1911 Encyclopædia Britannica which remarks that 'hood' was a common dialectical form of 'wood'; and that the outlaw's name has been given as 'Robin Wood'.[92] There are a number of references to Robin Hood as Robin Wood, or Whood, or Whod, from the 16th and 17th centuries. The earliest recorded example, in connection with May games in Somerset, dates from 1518.[93]
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The oldest references to Robin Hood are not historical records, or even ballads recounting his exploits, but hints and allusions found in various works. From 1261 onward, the names "Robinhood", "Robehod", or "Robbehod" occur in the rolls of several English Justices as nicknames or descriptions of malefactors. The majority of these references date from the late 13th century. Between 1261 and 1300, there are at least eight references to "Rabunhod" in various regions across England, from Berkshire in the south to York in the north.[24]
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Leaving aside the reference to the "rhymes" of Robin Hood in Piers Plowman in the 1370s,[94][95] and the scattered mentions of his "tales and songs" in various religious tracts dating to the early 1400s,[96][97][98] the first mention of a quasi-historical Robin Hood is given in Andrew of Wyntoun's Orygynale Chronicle, written in about 1420. The following lines occur with little contextualisation under the year 1283:
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In a petition presented to Parliament in 1439, the name is used to describe an itinerant felon. The petition cites one Piers Venables of Aston, Derbyshire, "who having no liflode, ne sufficeante of goodes, gadered and assembled unto him many misdoers, beynge of his clothynge, and, in manere of insurrection, wente into the wodes in that countrie, like as it hadde be Robyn Hude and his meyne."[100]
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The next historical description of Robin Hood is a statement in the Scotichronicon, composed by John of Fordun between 1377 and 1384, and revised by Walter Bower in about 1440. Among Bower's many interpolations is a passage that directly refers to Robin. It is inserted after Fordun's account of the defeat of Simon de Montfort and the punishment of his adherents, and is entered under the year 1266 in Bower's account. Robin is represented as a fighter for de Montfort's cause.[101] This was in fact true of the historical outlaw of Sherwood Forest Roger Godberd, whose points of similarity to the Robin Hood of the ballads have often been noted.[102][103]
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The word translated here as 'murderer' is the Latin sicarius (literally 'dagger-man'), from the Latin sica for 'dagger', and descends from its use to describe the Sicarii, assassins operating in Roman Judea. Bower goes on to relate an anecdote about Robin Hood in which he refuses to flee from his enemies while hearing Mass in the greenwood, and then gains a surprise victory over them, apparently as a reward for his piety; the mention of "tragedies" suggests that some form of the tale relating his death, as per A Gest of Robyn Hode, might have been in currency already.[105]
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Another reference, discovered by Julian Luxford in 2009, appears in the margin of the "Polychronicon" in the Eton College library. Written around the year 1460 by a monk in Latin, it says:
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Following this, John Major mentions Robin Hood within his Historia Majoris Britanniæ (1521), casting him in a positive light by mentioning his and his followers' aversion to bloodshed and ethos of only robbing the wealthy; Major also fixed his floruit not to the mid-13th century but the reigns of Richard I of England and his brother, King John.[50] Richard Grafton, in his Chronicle at Large (1569) went further when discussing Major's description of "Robert Hood", identifying him for the first time as a member of the gentry, albeit possibly "being of a base stock and linaege, was for his manhood and chivalry advanced to the noble dignity of an Earl" and not the yeomanry, foreshadowing Anthony Munday's casting of him as the dispossed Earl of Huntingdon.[107] The name nevertheless still had a reputation of sedition and treachery in 1605, when Guy Fawkes and his associates were branded "Robin Hoods" by Robert Cecil. In 1644, jurist Edward Coke described Robin Hood as a historical figure who had operated in the reign of King Richard I around Yorkshire; he interpreted the contemporary term "roberdsmen" (outlaws) as meaning followers of Robin Hood.[108]
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The earliest known legal records mentioning a person called Robin Hood (Robert Hod) are from 1226, found in the York Assizes, when that person's goods, worth 32 shillings and 6 pence, were confiscated and he became an outlaw. Robert Hod owed the money to St Peter's in York. The following year, he was called "Hobbehod", and also came to known as "Robert Hood". Robert Hod of York is the only early Robin Hood known to have been an outlaw. L.V.D. Owen in 1936 floated the idea that Robin Hood might be identified with an outlawed Robert Hood, or Hod, or Hobbehod, all apparently the same man, referred to in nine successive Yorkshire Pipe Rolls between 1226 and 1234.[109][110] There is no evidence however that this Robert Hood, although an outlaw, was also a bandit.[111]
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Historian Oscar de Ville discusses the career of John Deyville and his brother Robert, along with their kinsmen Jocelin and Adam, during the Second Barons' War, specifically their activities after the Battle of Evesham. John Deyville was granted authority by the faction led by Simon de Montfort, 6th Earl of Leicester over York Castle and the Northern Forests during the war in which they sought refuge after Evesham. John, along with his relatives, led the remaining rebel faction on the Isle of Ely following the Dictum of Kenilworth.[112] De Ville connects their presence there with Bower's mention of "Robert Hood" during the aftermath of Evesham in his annotations to the Scotichronicon.
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While John was eventually pardoned and continued his career until 1290, his kinsmen are no longer mentioned by historical records after the events surrounding their resistance at Ely, and de Ville speculates that Robert remained an outlaw. Other points de Ville raises in support of John and his brothers' exploits forming the inspiration for Robin Hood include their properties in Barnsdale, John's settlement of a mortgage worth £400 paralleling Robin Hood's charity of identical value to Sir Richard at the Lee, relationship with Sir Richard Foliot, a possible inspiration for the former figure, and ownership of a fortified home at Hood Hill, near Kilburn, North Yorkshire. The last of these is suggested to be the inspiration for Robin Hood's second name as opposed to the more common theory of a head covering.[113] Perhaps not coincidentally, a "Robertus Hod" is mentioned in records among the holdouts at Ely.[114]
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Although de Ville does not explicitly connect John and Robert Deyville to Robin Hood, he discusses these parallels in detail and suggests that they formed prototypes for this ideal of heroic outlawry during the tumultuous reign of Henry III's grandson and Edward I's son, Edward II of England.[115]
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David Baldwin identifies Robin Hood with the historical outlaw Roger Godberd, who was a die-hard supporter of Simon de Montfort, which would place Robin Hood around the 1260s.[116][117] There are certainly parallels between Godberd's career and that of Robin Hood as he appears in the Gest. John Maddicott has called Godberd "that prototype Robin Hood".[118] Some problems with this theory are that there is no evidence that Godberd was ever known as Robin Hood and no sign in the early Robin Hood ballads of the specific concerns of de Montfort's revolt.[119]
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The antiquarian Joseph Hunter (1783–1861) believed that Robin Hood had inhabited the forests of Yorkshire during the early decades of the fourteenth century. Hunter pointed to two men whom, believing them to be the same person, he identified with the legendary outlaw:
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Hunter developed a fairly detailed theory implying that Robert Hood had been an adherent of the rebel Earl of Lancaster, who was defeated by Edward II at the Battle of Boroughbridge in 1322. According to this theory, Robert Hood was thereafter pardoned and employed as a bodyguard by King Edward, and in consequence he appears in the 1323 court roll under the name of "Robyn Hode". Hunter's theory has long been recognised to have serious problems, one of the most serious being that recent research has shown that Hunter's Robyn Hood had been employed by the king before he appeared in the 1323 court roll, thus casting doubt on this Robyn Hood's supposed earlier career as outlaw and rebel.[120]
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It has long been suggested, notably by John Maddicott, that "Robin Hood" was a stock alias used by thieves.[121] What appears to be the first known example of "Robin Hood" as a stock name for an outlaw dates to 1262 in Berkshire, where the surname "Robehod" was applied to a man apparently because he had been outlawed.[122] This could suggest two main possibilities: either that an early form of the Robin Hood legend was already well established in the mid-13th century; or alternatively that the name "Robin Hood" preceded the outlaw hero that we know; so that the "Robin Hood" of legend was so called because that was seen as an appropriate name for an outlaw.
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There is at present little or no scholarly support for the view that tales of Robin Hood have stemmed from mythology or folklore, from fairies or other mythological origins, any such associations being regarded as later development.[123][124] It was once a popular view, however.[92] The "mythological theory" dates back at least to 1584, when Reginald Scot identified Robin Hood with the Germanic goblin "Hudgin" or Hodekin and associated him with Robin Goodfellow.[125] Maurice Keen[126] provides a brief summary and useful critique of the evidence for the view Robin Hood had mythological origins. While the outlaw often shows great skill in archery, swordplay and disguise, his feats are no more exaggerated than those of characters in other ballads, such as Kinmont Willie, which were based on historical events.[127]
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Robin Hood has also been claimed for the pagan witch-cult supposed by Margaret Murray to have existed in medieval Europe, and his anti-clericalism and Marianism interpreted in this light.[128] The existence of the witch cult as proposed by Murray is now generally discredited.
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The early ballads link Robin Hood to identifiable real places. In popular culture, Robin Hood and his band of "merry men" are portrayed as living in Sherwood Forest, in Nottinghamshire.[129] Notably, the Lincoln Cathedral Manuscript, which is the first officially recorded Robin Hood song (dating from approximately 1420), makes an explicit reference to the outlaw that states that "Robyn hode in scherewode stod".[130] In a similar fashion, a monk of Witham Priory (1460) suggested that the archer had 'infested shirwode'. His chronicle entry reads:
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Specific sites in the county of Nottinghamshire that are directly linked to the Robin Hood legend include Robin Hood's Well, located near Newstead Abbey (within the boundaries of Sherwood Forest), the Church of St. Mary in the village of Edwinstowe and most famously of all, the Major Oak also located at the village of Edwinstowe.[132] The Major Oak, which resides in the heart of Sherwood Forest, is popularly believed to have been used by the Merry Men as a hide-out. Dendrologists have contradicted this claim by estimating the tree's true age at around eight hundred years; it would have been relatively a sapling in Robin's time, at best.[133]
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Nottinghamshire's claim to Robin Hood's heritage is disputed, with Yorkists staking a claim to the outlaw. In demonstrating Yorkshire's Robin Hood heritage, the historian J. C. Holt drew attention to the fact that although Sherwood Forest is mentioned in Robin Hood and the Monk, there is little information about the topography of the region, and thus suggested that Robin Hood was drawn to Nottinghamshire through his interactions with the city's sheriff.[134] Moreover, the linguist Lister Matheson has observed that the language of the Gest of Robyn Hode is written in a definite northern dialect, probably that of Yorkshire.[135] In consequence, it seems probable that the Robin Hood legend actually originates from the county of Yorkshire. Robin Hood's Yorkshire origins are generally accepted by professional historians.[136]
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A tradition dating back at least to the end of the 16th century gives Robin Hood's birthplace as Loxley, Sheffield, in South Yorkshire. The original Robin Hood ballads, which originate from the fifteenth century, set events in the medieval forest of Barnsdale. Barnsdale was a wooded area covering an expanse of no more than thirty square miles, ranging six miles from north to south, with the River Went at Wentbridge near Pontefract forming its northern boundary and the villages of Skelbrooke and Hampole forming the southernmost region. From east to west the forest extended about five miles, from Askern on the east to Badsworth in the west.[137] At the northernmost edge of the forest of Barnsdale, in the heart of the Went Valley, resides the village of Wentbridge. Wentbridge is a village in the City of Wakefield district of West Yorkshire, England. It lies around 3 miles (5 km) southeast of its nearest township of size, Pontefract, close to the A1 road. During the medieval age Wentbridge was sometimes locally referred to by the name of Barnsdale because it was the predominant settlement in the forest.[138] Wentbridge is mentioned in an early Robin Hood ballad, entitled, Robin Hood and the Potter, which reads, "Y mete hem bot at Went breg,' syde Lyttyl John". And, while Wentbridge is not directly named in A Gest of Robyn Hode, the poem does appear to make a cryptic reference to the locality by depicting a poor knight explaining to Robin Hood that he 'went at a bridge' where there was wrestling'.[139] A commemorative Blue Plaque has been placed on the bridge that crosses the River Went by Wakefield City Council.
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The Gest makes a specific reference to the Saylis at Wentbridge. Credit is due to the nineteenth-century antiquarian Joseph Hunter, who correctly identified the site of the Saylis.[140] From this location it was once possible to look out over the Went Valley and observe the traffic that passed along the Great North Road. The Saylis is recorded as having contributed towards the aid that was granted to Edward III in 1346–47 for the knighting of the Black Prince. An acre of landholding is listed within a glebe terrier of 1688 relating to Kirk Smeaton, which later came to be called "Sailes Close".[141] Professor Dobson and Mr. Taylor indicate that such evidence of continuity makes it virtually certain that the Saylis that was so well known to Robin Hood is preserved today as "Sayles Plantation".[142] It is this location that provides a vital clue to Robin Hood's Yorkshire heritage. One final locality in the forest of Barnsdale that is associated with Robin Hood is the village of Campsall.
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The historian John Paul Davis wrote of Robin's connection to the Church of Saint Mary Magdalene at Campsall in South Yorkshire.[143] A Gest of Robyn Hode states that the outlaw built a chapel in Barnsdale that he dedicated to Mary Magdalene:
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Davis indicates that there is only one church dedicated to Mary Magdalene within what one might reasonably consider to have been the medieval forest of Barnsdale, and that is the church at Campsall. The church was built in the late eleventh century by Robert de Lacy, the 2nd Baron of Pontefract.[145][146] Local legend suggests that Robin Hood and Maid Marion were married at the church.
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The backdrop of St Mary's Abbey, York plays a central role in the Gest as the poor knight whom Robin aids owes money to the abbot.
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At Kirklees Priory in West Yorkshire stands an alleged grave with a spurious inscription, which relates to Robin Hood. The fifteenth-century ballads relate that before he died, Robin told Little John where to bury him. He shot an arrow from the Priory window, and where the arrow landed was to be the site of his grave. The Gest states that the Prioress was a relative of Robin's. Robin was ill and staying at the Priory where the Prioress was supposedly caring for him. However, she betrayed him, his health worsened, and he eventually died there. The inscription on the grave reads,
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Despite the unconventional spelling, the verse is in Modern English, not the Middle English of the 13th century. The date is also incorrectly formatted – using the Roman calendar, "24 kal Decembris" would be the twenty-third day before the beginning of December, that is, 8 November. The tomb probably dates from the late eighteenth century.[147]
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The grave with the inscription is within sight of the ruins of the Kirklees Priory, behind the Three Nuns pub in Mirfield, West Yorkshire. Though local folklore suggests that Robin is buried in the grounds of Kirklees Priory, this theory has now largely been abandoned by professional historians.
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Another theory is that Robin Hood died at Kirkby, Pontefract. Michael Drayton's Poly-Olbion Song 28 (67–70), published in 1622, speaks of Robin Hood's death and clearly states that the outlaw died at 'Kirkby'.[148] This is consistent with the view that Robin Hood operated in the Went Valley, located three miles to the southeast of the town of Pontefract. The location is approximately three miles from the site of Robin's robberies at the now famous Saylis. In the Anglo-Saxon period, Kirkby was home to All Saints' Church, Pontefract. All Saints' Church had a priory hospital attached to it. The Tudor historian Richard Grafton stated that the prioress who murdered Robin Hood buried the outlaw beside the road,
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Where he had used to rob and spoyle those that passed that way ... and the cause why she buryed him there was, for that common strangers and travailers, knowing and seeing him there buryed, might more safely and without feare take their journeys that way, which they durst not do in the life of the sayd outlaes.[149]
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All Saints' Church at Kirkby, modern Pontefract, which was located approximately three miles from the site of Robin Hood's robberies at the Saylis, is consistent with Richard Grafton's description because a road ran directly from Wentbridge to the hospital at Kirkby.[150]
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Within close proximity of Wentbridge reside several notable landmarks relating to Robin Hood. One such place-name location occurred in a cartulary deed of 1422 from Monkbretton Priory, which makes direct reference to a landmark named Robin Hood's Stone, which resided upon the eastern side of the Great North Road, a mile south of Barnsdale Bar.[151] The historians Barry Dobson and John Taylor suggested that on the opposite side of the road once stood Robin Hood's Well, which has since been relocated six miles north-west of Doncaster, on the south-bound side of the Great North Road. Over the next three centuries, the name popped-up all over the place, such as at Robin Hood's Bay, near Whitby in Yorkshire, Robin Hood's Butts in Cumbria, and Robin Hood's Walk at Richmond, Surrey.
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Robin Hood type place-names occurred particularly everywhere except Sherwood. The first place-name in Sherwood does not appear until the year 1700.[152] The fact that the earliest Robin Hood type place-names originated in West Yorkshire is deemed to be historically significant because, generally, place-name evidence originates from the locality where legends begin.[153] The overall picture from the surviving early ballads and other early references[154] indicate that Robin Hood was based in the Barnsdale area of what is now South Yorkshire, which borders Nottinghamshire.
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The Sheriff of Nottingham also had jurisdiction in Derbyshire that was known as the "Shire of the Deer", and this is where the Royal Forest of the Peak is found, which roughly corresponds to today's Peak District National Park. The Royal Forest included Bakewell, Tideswell, Castleton, Ladybower and the Derwent Valley near Loxley. The Sheriff of Nottingham possessed property near Loxley, among other places both far and wide including Hazlebadge Hall, Peveril Castle and Haddon Hall. Mercia, to which Nottingham belonged, came to within three miles of Sheffield City Centre. But before the Law of the Normans was the Law of the Danes, The Danelaw had a similar boundary to that of Mercia but had a population of Free Peasantry that were known to have resisted the Norman occupation. Many outlaws could have been created by the refusal to recognise Norman Forest Law.[155] The supposed grave of Little John can be found in Hathersage, also in the Peak District.
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Further indications of the legend's connection with West Yorkshire (and particularly Calderdale) are noted in the fact that there are pubs called the Robin Hood in both nearby Brighouse and at Cragg Vale; higher up in the Pennines beyond Halifax, where Robin Hood Rocks can also be found. Robin Hood Hill is near Outwood, West Yorkshire, not far from Lofthouse. There is a village in West Yorkshire called Robin Hood, on the A61 between Leeds and Wakefield and close to Rothwell and Lofthouse. Considering these references to Robin Hood, it is not surprising that the people of both South and West Yorkshire lay some claim to Robin Hood, who, if he existed, could easily have roamed between Nottingham, Lincoln, Doncaster and right into West Yorkshire.
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A British Army Territorial (reserves) battalion formed in Nottingham in 1859 was known as The Robin Hood Battalion through various reorganisations until the "Robin Hood" name finally disappeared in 1992. With the 1881 Childers Reforms that linked regular and reserve units into regimental families, the Robin Hood Battalion became part of The Sherwood Foresters (Nottinghamshire and Derbyshire Regiment).
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A Neolithic causewayed enclosure on Salisbury Plain has acquired the name Robin Hood's Ball, although had Robin Hood existed it is doubtful that he would have travelled so far south.
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Ballads dating back to the 15th century are the oldest existing form of the Robin Hood legends, although none of them were recorded at the time of the first allusions to him, and many are from much later. They share many common features, often opening with praise of the greenwood and relying heavily on disguise as a plot device, but include a wide variation in tone and plot.[156] The ballads are sorted into three groups, very roughly according to date of first known free-standing copy. Ballads whose first recorded version appears (usually incomplete) in the Percy Folio may appear in later versions[157] and may be much older than the mid-17th century when the Folio was compiled. Any ballad may be older than the oldest copy that happens to survive, or descended from a lost older ballad. For example, the plot of Robin Hood's Death, found in the Percy Folio, is summarised in the 15th-century A Gest of Robyn Hode, and it also appears in an 18th-century version.[158]
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NB. The first two ballads listed here (the "Death" and "Gisborne"), although preserved in 17th-century copies, are generally agreed to preserve the substance of late medieval ballads. The third (the "Curtal Friar") and the fourth (the "Butcher"), also probably have late medieval origins.[159]
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Some ballads, such as Erlinton, feature Robin Hood in some variants, where the folk hero appears to be added to a ballad pre-existing him and in which he does not fit very well.[160] He was added to one variant of Rose Red and the White Lily, apparently on no more connection than that one hero of the other variants is named "Brown Robin".[161] Francis James Child indeed retitled Child ballad 102; though it was titled The Birth of Robin Hood, its clear lack of connection with the Robin Hood cycle (and connection with other, unrelated ballads) led him to title it Willie and Earl Richard's Daughter in his collection.[162]
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Robinson Crusoe[a] (/ˈkruːsoʊ/) is a novel by Daniel Defoe, first published on 25 April 1719. The first edition credited the work's protagonist Robinson Crusoe as its author, leading many readers to believe he was a real person and the book a travelogue of true incidents.[1]
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Epistolary, confessional, and didactic in form, the book is presented as an autobiography of the title character (whose birth name is Robinson Kreutznaer)—a castaway who spends 28 years on a remote tropical desert island near the coasts of Venezuela and Trinidad, encountering cannibals, captives, and mutineers, before ultimately being rescued. The story has been thought to be based on the life of Alexander Selkirk, a Scottish castaway who lived for four years on a Pacific island called "Más a Tierra", now part of Chile, which was renamed Robinson Crusoe Island in 1966.[2]
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Despite its simple narrative style, Robinson Crusoe was well received in the literary world and is often credited as marking the beginning of realistic fiction as a literary genre. It is generally seen as a contender for the first English novel.[3] Before the end of 1719, the book had already run through four editions, and it has gone on to become one of the most widely published books in history, spawning so many imitations, not only in literature but also in film, television and radio, that its name is used to define a genre, the Robinsonade.
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Crusoe (the family name corrupted from the German name "Kreutznaer") set sail from Kingston upon Hull on a sea voyage in August 1651, against the wishes of his parents, who wanted him to pursue a career in law. After a tumultuous journey where his ship is wrecked in a storm, his lust for the sea remains so strong that he sets out to sea again. This journey, too, ends in disaster, as the ship is taken over by Salé pirates (the Salé Rovers) and Crusoe is enslaved by a Moor. Two years later, he escapes in a boat with a boy named Xury; a captain of a Portuguese ship off the west coast of Africa rescues him. The ship is en route to Brazil. Crusoe sells Xury to the captain. With the captain's help, Crusoe procures a plantation.
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Years later, Crusoe joins an expedition to bring slaves from Africa, but he is shipwrecked in a storm about forty miles out to sea on an island near the Venezuelan coast (which he calls the Island of Despair) near the mouth of the Orinoco river on 30 September 1659.[4] He observes the latitude as 9 degrees and 22 minutes north. He sees penguins and seals on his island. As for his arrival there, only he and three animals, the captain's dog and two cats, survive the shipwreck. Overcoming his despair, he fetches arms, tools and other supplies from the ship before it breaks apart and sinks. He builds a fenced-in habitat near a cave which he excavates. By making marks in a wooden cross, he creates a calendar. By using tools salvaged from the ship, and some which he makes himself, he hunts, grows barley and rice, dries grapes to make raisins, learns to make pottery and raises goats. He also adopts a small parrot. He reads the Bible and becomes religious, thanking God for his fate in which nothing is missing but human society.
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More years pass and Crusoe discovers native cannibals, who occasionally visit the island to kill and eat prisoners. At first he plans to kill them for committing an abomination but later realizes he has no right to do so, as the cannibals do not knowingly commit a crime. He dreams of obtaining one or two servants by freeing some prisoners; when a prisoner escapes, Crusoe helps him, naming his new companion "Friday" after the day of the week he appeared. Crusoe then teaches him English and converts him to Christianity.
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After more natives arrive to partake in a cannibal feast, Crusoe and Friday kill most of the natives and save two prisoners. One is Friday's father and the other is a Spaniard, who informs Crusoe about other Spaniards shipwrecked on the mainland. A plan is devised wherein the Spaniard would return to the mainland with Friday's father and bring back the others, build a ship, and sail to a Spanish port.
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Before the Spaniards return, an English ship appears; mutineers have commandeered the vessel and intend to maroon their captain on the island. Crusoe and the ship's captain strike a deal in which Crusoe helps the captain and the loyal sailors retake the ship. With their ringleader executed by the captain, the mutineers take up Crusoe's offer to be marooned on the island rather than being returned to England as prisoners to be hanged. Before embarking for England, Crusoe shows the mutineers how he survived on the island and states that there will be more men coming.
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Crusoe leaves the island 19 December 1686 and arrives in England on 11 June 1687. He learns that his family believed him dead; as a result, he was left nothing in his father's will. Crusoe departs for Lisbon to reclaim the profits of his estate in Brazil, which has granted him much wealth. In conclusion, he transports his wealth overland to England from Portugal to avoid traveling by sea. Friday accompanies him and, en route, they endure one last adventure together as they fight off famished wolves while crossing the Pyrenees.
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Robinson Crusoe: The narrator of the novel who gets shipwrecked.
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Friday: Servant to Robinson Crusoe.
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Xury: Former servant to Crusoe. Is later given to the Portuguese Sea Captain as an indentured servant.
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The Widow: Friend to Robinson Crusoe. She looks over his assets while he is away.
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Portuguese Sea Captain: Helps save Robinson Crusoe from slavery. Is very generous and close with Crusoe; helps him with his money and plantation.
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The Spaniard: Rescued by Robinson Crusoe and helps him escape his island.
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Robinson Crusoe's father: A merchant named Kreutznaer.
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Robinson Crusoe was published in 1719 during the Enlightenment period of the 18th century. In the novel Crusoe sheds light on different aspects of Christianity and his beliefs. The book can be considered a spiritual autobiography as Crusoe's views on religion drastically change from the start of his story and then the end. In the beginning of the book Crusoe is concerned with sailing away from home, whereupon he meets violent storms at sea. He promises to God that if he survived that storm he would be a dutiful Christian man and head home according to his parent's wishes. However, when Crusoe survives the storm he decides to keep sailing and notes that he could not fulfil the promises he had made during his turmoil.[5]
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After Robinson is shipwrecked on his island he begins to suffer from extreme isolation. He turns to his animals to talk to, such as his parrot, but misses human contact. He turns to God during his time of turmoil in search of solace and guidance. He retrieves a Bible from a ship that was washed along the shore and begins to memorize verses. In times of trouble he would open the Bible to a random page where he would read a verse that he believed God had made him open and read, and that would ease his mind. Therefore, during the time in which Crusoe was shipwrecked he became very religious and often would turn to God for help.
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When Crusoe meets his servant Friday, he begins to teach him scripture and about Christianity. He tries to teach Friday to the best of his ability about God and what Heaven and Hell are. His purpose is to convert Friday into being a Christian and to his values and beliefs. “During the long time that Friday has now been with me, and that he began to speak to me, and understand me, I was not wanting to lay a foundation of religious knowledge in his mind; particularly I ask'd him one time who made him?” [6]
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There were many stories of real-life castaways in Defoe's time. Most famously, Defoe's suspected inspiration for Robinson Crusoe is thought to be Scottish sailor Alexander Selkirk, who spent four years on the uninhabited island of Más a Tierra (renamed Robinson Crusoe Island in 1966)[2] in the Juan Fernández Islands off the Chilean coast. Selkirk was rescued in 1709 by Woodes Rogers during an English expedition that led to the publication of Selkirk's adventures in both A Voyage to the South Sea, and Round the World and A Cruising Voyage Around the World in 1712. According to Tim Severin, "Daniel Defoe, a secretive man, neither confirmed or denied that Selkirk was the model for the hero of his book. Apparently written in six months or less, Robinson Crusoe was a publishing phenomenon.[7]
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The author of Crusoe's Island, Andrew Lambert states, "the ideas that a single, real Crusoe is a 'false premise' because Crusoe's story is a complex compound of all the other buccaneer survival stories."[8] However, Robinson Crusoe is far from a copy of Rogers' account: Becky Little argues three events that distinguish the two stories. Robinson Crusoe was shipwrecked while Selkirk decided to leave his ship thus marooning himself; the island Crusoe was shipwrecked on had already been inhabited, unlike the solitary nature of Selkirk's adventures. The last and most crucial difference between the two stories is Selkirk is a pirate, looting and raiding coastal cities. "The economic and dynamic thrust of the book is completely alien to what the buccaneers are doing," Lambert says. "The buccaneers just want to capture some loot and come home and drink it all, and Crusoe isn’t doing that at all. He's an economic imperialist. He's creating a world of trade and profit."
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Other possible sources for the narrative include Ibn Tufail's Hayy ibn Yaqdhan, and Spanish sixteenth-century sailor Pedro Serrano. Ibn Tufail's Hayy ibn Yaqdhan is a twelfth-century philosophical novel also set on a desert island and translated from Arabic into Latin and English a number of times in the half-century preceding Defoe's novel.[9][10][11][12]
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Pedro Luis Serrano was a Spanish sailor who was marooned for seven or eight years in the sixteenth century on a small desert island after shipwrecking on a small island in the Caribbean off the coast of Nicaragua in the 1520s. He had no access to fresh water and lived off the blood and flesh of sea turtles and birds. He was quite a celebrity when he returned to Europe and before passing away, he recorded the hardships suffered in documents that show the endless anguish and suffering, the product of absolute abandonment to his fate, now held in the General Archive of the Indies, in Seville. It is very likely that Defoe heard his story, 200 years old by then but still very popular, in one of his visits to Spain before becoming a writer.
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Yet another source for Defoe's novel may have been the Robert Knox account of his abduction by the King of Ceylon Rajasinha II of Kandy in 1659 in An Historical Relation of the Island Ceylon.[13][14]
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Tim Severin's book Seeking Robinson Crusoe (2002) unravels a much wider and more plausible range of potential sources of inspiration, and concludes by identifying castaway surgeon Henry Pitman as the most likely. An employee of the Duke of Monmouth, Pitman played a part in the Monmouth Rebellion. His short book about his desperate escape from a Caribbean penal colony, followed by his shipwrecking and subsequent desert island misadventures, was published by John Taylor of Paternoster Row, London, whose son William Taylor later published Defoe's novel. Severin argues that since Pitman appears to have lived in the lodgings above the father's publishing house and that Defoe himself was a mercer in the area at the time, Defoe may have met Pitman in person and learned of his experiences first-hand, or possibly through submission of a draft.[15] Severin also discusses another publicised case of a marooned man named only as Will, of the Miskito people of Central America, who may have led to the depiction of Friday.[16]
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Arthur Wellesley Secord in his Studies in the Narrative Method of Defoe (1963: 21–111) analyses the composition of Robinson Crusoe and gives a list of possible sources of the story, rejecting the common theory that the story of Selkirk is Defoe's only source.
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The book was published on 25 April 1719. Before the end of the year, this first volume had run through four editions.
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By the end of the nineteenth century, no book in the history of Western literature had more editions, spin-offs and translations (even into languages such as Inuktitut, Coptic and Maltese) than Robinson Crusoe, with more than 700 such alternative versions, including children's versions with pictures and no text.[17][18]
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The term "Robinsonade" was coined to describe the genre of stories similar to Robinson Crusoe.
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Defoe went on to write a lesser-known sequel, The Farther Adventures of Robinson Crusoe (1719). It was intended to be the last part of his stories, according to the original title page of the sequel's first edition, but a third book, Serious Reflections During the Life and Surprising Adventures of Robinson Crusoe: With his Vision of the Angelick World (1720), was written.
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Novelist James Joyce noted that the true symbol of the British Empire is Robinson Crusoe, to whom he ascribed stereotypical and somewhat hostile English racial characteristics: "He is the true prototype of the British colonist. ... The whole Anglo-Saxon spirit in Crusoe: the manly independence, the unconscious cruelty, the persistence, the slow yet efficient intelligence, the sexual apathy, the calculating taciturnity."[19] In a sense Crusoe attempts to replicate his society on the island. This is achieved through the use of European technology, agriculture and even a rudimentary political hierarchy. Several times in the novel Crusoe refers to himself as the "king" of the island, whilst the captain describes him as the "governor" to the mutineers. At the very end of the novel the island is explicitly referred to as a "colony". The idealised master-servant relationship Defoe depicts between Crusoe and Friday can also be seen in terms of cultural imperialism. Crusoe represents the "enlightened" European whilst Friday is the "savage" who can only be redeemed from his barbarous way of life through assimilation into Crusoe's culture. Nonetheless Defoe also takes the opportunity to criticise the historic Spanish conquest of South America.
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According to J. P. Hunter, Robinson is not a hero but an everyman. He begins as a wanderer, aimless on a sea he does not understand, and ends as a pilgrim, crossing a final mountain to enter the promised land. The book tells the story of how Robinson becomes closer to God, not through listening to sermons in a church but through spending time alone amongst nature with only a Bible to read.
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Conversely, cultural critic and literary scholar Michael Gurnow views the novel from a Rousseauian perspective. In "'The Folly of Beginning a Work Before We Count the Cost': Anarcho-Primitivism in Daniel Defoe's Robinson Crusoe", the central character's movement from a primitive state to a more civilized one is interpreted as Crusoe's denial of humanity's state of nature.[20]
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Robinson Crusoe is filled with religious aspects. Defoe was a Puritan moralist and normally worked in the guide tradition, writing books on how to be a good Puritan Christian, such as The New Family Instructor (1727) and Religious Courtship (1722). While Robinson Crusoe is far more than a guide, it shares many of the themes and theological and moral points of view. "Crusoe" may have been taken from Timothy Cruso, a classmate of Defoe's who had written guide books, including God the Guide of Youth (1695), before dying at an early age—just eight years before Defoe wrote Robinson Crusoe. Cruso would have been remembered by contemporaries and the association with guide books is clear. It has even been speculated that God the Guide of Youth inspired Robinson Crusoe because of a number of passages in that work that are closely tied to the novel.[21] A leitmotif of the novel is the Christian notion of Providence, penitence and redemption.[22] Crusoe comes to repent of the follies of his youth. Defoe also foregrounds this theme by arranging highly significant events in the novel to occur on Crusoe's birthday. The denouement culminates not only in Crusoe's deliverance from the island, but his spiritual deliverance, his acceptance of Christian doctrine, and in his intuition of his own salvation.
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When confronted with the cannibals, Crusoe wrestles with the problem of cultural relativism. Despite his disgust, he feels unjustified in holding the natives morally responsible for a practice so deeply ingrained in their culture. Nevertheless, he retains his belief in an absolute standard of morality; he regards cannibalism as a "national crime" and forbids Friday from practising it.
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In classical, neoclassical and Austrian economics, Crusoe is regularly used to illustrate the theory of production and choice in the absence of trade, money and prices.[23] Crusoe must allocate effort between production and leisure and must choose between alternative production possibilities to meet his needs. The arrival of Friday is then used to illustrate the possibility of trade and the gains that result.
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— Defoe's Robinson Crusoe, 1719
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The work has been variously read as an allegory for the development of civilisation; as a manifesto of economic individualism; and as an expression of European colonial desires. Significantly, it also shows the importance of repentance and illustrates the strength of Defoe's religious convictions. Critics such as Maximillian E. Novak support the connection between the religious and economic themes within Robinson Crusoe, citing Defoe's religious ideology as the influence for his portrayal of Crusoe's economic ideals and his support of the individual. Within his article "Robinson Crusoe's 'Original Sin'", Novak cites Ian Watt's extensive research in Watt's book, Myths of Modern Individualism: Faust, Don Quixote, Don Juan, Robinson Crusoe, in which Watt explores the impact that several Romantic Era novels had against economic individualism, and the reversal of those ideals that takes place within Robinson Crusoe.[24] In Tess Lewis's review, "The Heroes We Deserve", of Ian Watt's article, she furthers Watt's argument with a development on Defoe's intention as an author, "to use individualism to signify nonconformity in religion and the admirable qualities of self-reliance" (Lewis 678). This further supports the belief that Defoe used aspects of spiritual autobiography in order to introduce the benefits of individualism to a not entirely convinced religious community.[25] J. Paul Hunter has written extensively on the subject of Robinson Crusoe as apparent spiritual autobiography, tracing the influence of Defoe's Puritan ideology through Crusoe's narrative, and his acknowledgement of human imperfection in pursuit of meaningful spiritual engagements—the cycle of "repentance [and] deliverance."[26] This spiritual pattern and its episodic nature, as well as the re-discovery of earlier female novelists, have kept Robinson Crusoe from being classified as a novel, let alone the first novel written in English—despite the blurbs on some book covers. Early critics, such as Robert Louis Stevenson, admired it, saying that the footprint scene in Crusoe was one of the four greatest in English literature and most unforgettable; more prosaically, Dr. Wesley Vernon has seen the origins of forensic podiatry in this episode.[27] It has inspired a new genre, the Robinsonade, as works such as Johann David Wyss' The Swiss Family Robinson (1812) adapt its premise and has provoked modern postcolonial responses, including J. M. Coetzee's Foe (1986) and Michel Tournier's Vendredi ou les Limbes du Pacifique (in English, Friday, or, The Other Island) (1967). Two sequels followed, Defoe's The Farther Adventures of Robinson Crusoe (1719) and his Serious reflections during the life and surprising adventures of Robinson Crusoe: with his Vision of the angelick world (1720). Jonathan Swift's Gulliver's Travels (1726) in part parodies Defoe's adventure novel.
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The book proved so popular that the names of the two main protagonists have entered the language. During World War II, people who decided to stay and hide in the ruins of the German-occupied city of Warsaw for a period of three winter months, from October to January 1945, when they were rescued by the Red Army, were later called Robinson Crusoes of Warsaw (Robinsonowie warszawscy).[28] Robinson Crusoe usually referred to his servant as "my man Friday", from which the term "Man Friday" (or "Girl Friday") originated.
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Robinson Crusoe marked the beginning of realistic fiction as a literary genre.[29] Its success led to many imitators, and castaway novels, written by Ambrose Evans, Penelope Aubin, and others, became quite popular in Europe in the 18th and early 19th centuries.[30] Most of these have fallen into obscurity, but some became established, including The Swiss Family Robinson, which borrowed Crusoe's first name for its title.
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Jonathan Swift's Gulliver's Travels, published seven years after Robinson Crusoe, may be read as a systematic rebuttal of Defoe's optimistic account of human capability. In The Unthinkable Swift: The Spontaneous Philosophy of a Church of England Man, Warren Montag argues that Swift was concerned about refuting the notion that the individual precedes society, as Defoe's novel seems to suggest. In Treasure Island, author Robert Louis Stevenson parodies Crusoe with the character of Ben Gunn, a friendly castaway who was marooned for many years, has a wild appearance, dresses entirely in goat skin and constantly talks about providence.
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In Jean-Jacques Rousseau's treatise on education, Emile, or on Education, the one book the protagonist is allowed to read before the age of twelve is Robinson Crusoe. Rousseau wants Emile to identify himself as Crusoe so he can rely upon himself for all of his needs. In Rousseau's view, Emile needs to imitate Crusoe's experience, allowing necessity to determine what is to be learned and accomplished. This is one of the main themes of Rousseau's educational model.
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In The Tale of Little Pig Robinson, Beatrix Potter directs the reader to Robinson Crusoe for a detailed description of the island (the land of the Bong tree) to which her eponymous hero moves. In Wilkie Collins' most popular novel, The Moonstone, one of the chief characters and narrators, Gabriel Betteredge, has faith in all that Robinson Crusoe says and uses the book for a sort of divination. He considers The Adventures of Robinson Crusoe the finest book ever written, reads it over and over again, and considers a man but poorly read if he had happened not to read the book.
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French novelist Michel Tournier published Friday, or, The Other Island (French Vendredi ou les Limbes du Pacifique) in 1967. His novel explores themes including civilization versus nature, the psychology of solitude, as well as death and sexuality in a retelling of Defoe's Robinson Crusoe story. Tournier's Robinson chooses to remain on the island, rejecting civilization when offered the chance to escape 28 years after being shipwrecked. Likewise, in 1963, J. M. G. Le Clézio, winner of the 2008 Nobel Prize in Literature, published the novel Le Proces-Verbal. The book's epigraph is a quote from Robinson Crusoe, and like Crusoe, Adam Pollo suffers long periods of loneliness.
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"Crusoe in England", a 183-line poem by Elizabeth Bishop, imagines Crusoe near the end of his life, recalling his time of exile with a mixture of bemusement and regret.
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J. M. Coetzee's 1986 novel Foe recounts the tale of Robinson Crusoe from the perspective of a woman named Susan Barton.
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The story was also illustrated and published in comic book form by Classics Illustrated in 1943 and 1957. The much improved 1957 version was inked/penciled by Sam Citron, who is most well known for his contributions to the earlier issues of Superman.[31] British illustrator Reginald Ben Davis drew a female version of the story titled Jill Crusoe, Castaway (1950-1959).[32]
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A pantomime version of Robinson Crusoe was staged at the Theatre Royal, Drury Lane in 1796, with Joseph Grimaldi as Pierrot in the harlequinade. The piece was produced again in 1798, this time starring Grimaldi as Clown. In 1815, Grimaldi played Friday in another version of Robinson Crusoe.[33]
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Jacques Offenbach wrote an opéra comique called Robinson Crusoé, which was first performed at the Opéra-Comique in Paris on 23 November 1867. This was based on the British pantomime version rather than the novel itself. The libretto was by Eugène Cormon and Hector-Jonathan Crémieux.
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There have been a number of other stage adaptations, including those by Isaac Pocock, Jim Helsinger and Steve Shaw and a musical by Victor Prince.
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There is a 1927 silent film titled Robinson Crusoe. The Soviet 3D film Robinson Crusoe was produced in 1947. Luis Buñuel directed Adventures of Robinson Crusoe starring Dan O'Herlihy, released in 1954. Walt Disney later comedicized the novel with Lt. Robin Crusoe, U.S.N., featuring Dick Van Dyke. In this version, Friday became a beautiful woman, but named 'Wednesday' instead. Peter O'Toole and Richard Roundtree co-starred in a 1975 film Man Friday which sardonically portrayed Crusoe as incapable of seeing his dark-skinned companion as anything but an inferior creature, while Friday is more enlightened and sympathetic. In 1988, Aidan Quinn portrayed Robinson Crusoe in the film Crusoe. A 1997 movie entitled Robinson Crusoe starred Pierce Brosnan and received limited commercial success. Variations on the theme include the 1954 Miss Robin Crusoe, with a female castaway, played by Amanda Blake, and a female Friday, and the 1964 film Robinson Crusoe on Mars, starring Paul Mantee, with an alien Friday portrayed by Victor Lundin and an added character played by Adam West. The 2000 film Cast Away, with Tom Hanks as a FedEx employee stranded on an Island for many years, also borrows much from the Robinson Crusoe story.
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In 1964 a French film production crew made a 13-part serial of The Adventures of Robinson Crusoe. It starred Robert Hoffmann. The black and white series was dubbed into English and German. In the UK, the BBC broadcast it on numerous occasions between 1965 and 1977. In 1981 Czechoslovakian director and animator Stanislav Látal made a version of the story under the name Adventures of Robinson Crusoe, a Sailor from York combining traditional and stop-motion animation. The movie was coproduced by regional West Germany broadcaster Südwestfunk Baden-Baden.
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In 1988, an animated cartoon for children called Classic Adventure Stories Robinson Crusoe was released. Crusoe's early sea travels are simplified, as his ship outruns the Salé Rovers pirates but then gets wrecked in a storm.[2]
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Two 2000s reality television series, Expedition Robinson and Survivor, have their contestants try to survive on an isolated location, usually an island. The concept is influenced by Robinson Crusoe.
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The term inverted Crusoeism is coined by J. G. Ballard. The paradigm of Robinson Crusoe has been a recurring topic in Ballard’s work.[34] Whereas the original Robinson Crusoe became a castaway against his own will, Ballard's protagonists often choose to maroon themselves; hence inverted Crusoeism (e.g., Concrete Island). The concept provides a reason as to why people would deliberately maroon themselves on a remote island; in Ballard’s work, becoming a castaway is as much a healing and empowering process as an entrapping one, enabling people to discover a more meaningful and vital existence.[35]
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Musician Dean briefly mentions Crusoe in one of his music videos. In the official music video for Instagram, there is a part when viewers hear Dean's distorted voice; "Sometimes, I feel alone . . . I feel like I'm Robinson Crusoe . . ."
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Robinson Crusoe is also mentioned in the song "I'm a Dog" by Canadian band Crash Test Dummies.[36] Written from the perspective of a dog puzzling over human philosophy, the song has this stanza:
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Robinson Crusoe[a] (/ˈkruːsoʊ/) is a novel by Daniel Defoe, first published on 25 April 1719. The first edition credited the work's protagonist Robinson Crusoe as its author, leading many readers to believe he was a real person and the book a travelogue of true incidents.[1]
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Epistolary, confessional, and didactic in form, the book is presented as an autobiography of the title character (whose birth name is Robinson Kreutznaer)—a castaway who spends 28 years on a remote tropical desert island near the coasts of Venezuela and Trinidad, encountering cannibals, captives, and mutineers, before ultimately being rescued. The story has been thought to be based on the life of Alexander Selkirk, a Scottish castaway who lived for four years on a Pacific island called "Más a Tierra", now part of Chile, which was renamed Robinson Crusoe Island in 1966.[2]
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Despite its simple narrative style, Robinson Crusoe was well received in the literary world and is often credited as marking the beginning of realistic fiction as a literary genre. It is generally seen as a contender for the first English novel.[3] Before the end of 1719, the book had already run through four editions, and it has gone on to become one of the most widely published books in history, spawning so many imitations, not only in literature but also in film, television and radio, that its name is used to define a genre, the Robinsonade.
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Crusoe (the family name corrupted from the German name "Kreutznaer") set sail from Kingston upon Hull on a sea voyage in August 1651, against the wishes of his parents, who wanted him to pursue a career in law. After a tumultuous journey where his ship is wrecked in a storm, his lust for the sea remains so strong that he sets out to sea again. This journey, too, ends in disaster, as the ship is taken over by Salé pirates (the Salé Rovers) and Crusoe is enslaved by a Moor. Two years later, he escapes in a boat with a boy named Xury; a captain of a Portuguese ship off the west coast of Africa rescues him. The ship is en route to Brazil. Crusoe sells Xury to the captain. With the captain's help, Crusoe procures a plantation.
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Years later, Crusoe joins an expedition to bring slaves from Africa, but he is shipwrecked in a storm about forty miles out to sea on an island near the Venezuelan coast (which he calls the Island of Despair) near the mouth of the Orinoco river on 30 September 1659.[4] He observes the latitude as 9 degrees and 22 minutes north. He sees penguins and seals on his island. As for his arrival there, only he and three animals, the captain's dog and two cats, survive the shipwreck. Overcoming his despair, he fetches arms, tools and other supplies from the ship before it breaks apart and sinks. He builds a fenced-in habitat near a cave which he excavates. By making marks in a wooden cross, he creates a calendar. By using tools salvaged from the ship, and some which he makes himself, he hunts, grows barley and rice, dries grapes to make raisins, learns to make pottery and raises goats. He also adopts a small parrot. He reads the Bible and becomes religious, thanking God for his fate in which nothing is missing but human society.
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More years pass and Crusoe discovers native cannibals, who occasionally visit the island to kill and eat prisoners. At first he plans to kill them for committing an abomination but later realizes he has no right to do so, as the cannibals do not knowingly commit a crime. He dreams of obtaining one or two servants by freeing some prisoners; when a prisoner escapes, Crusoe helps him, naming his new companion "Friday" after the day of the week he appeared. Crusoe then teaches him English and converts him to Christianity.
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After more natives arrive to partake in a cannibal feast, Crusoe and Friday kill most of the natives and save two prisoners. One is Friday's father and the other is a Spaniard, who informs Crusoe about other Spaniards shipwrecked on the mainland. A plan is devised wherein the Spaniard would return to the mainland with Friday's father and bring back the others, build a ship, and sail to a Spanish port.
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Before the Spaniards return, an English ship appears; mutineers have commandeered the vessel and intend to maroon their captain on the island. Crusoe and the ship's captain strike a deal in which Crusoe helps the captain and the loyal sailors retake the ship. With their ringleader executed by the captain, the mutineers take up Crusoe's offer to be marooned on the island rather than being returned to England as prisoners to be hanged. Before embarking for England, Crusoe shows the mutineers how he survived on the island and states that there will be more men coming.
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Crusoe leaves the island 19 December 1686 and arrives in England on 11 June 1687. He learns that his family believed him dead; as a result, he was left nothing in his father's will. Crusoe departs for Lisbon to reclaim the profits of his estate in Brazil, which has granted him much wealth. In conclusion, he transports his wealth overland to England from Portugal to avoid traveling by sea. Friday accompanies him and, en route, they endure one last adventure together as they fight off famished wolves while crossing the Pyrenees.
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Robinson Crusoe: The narrator of the novel who gets shipwrecked.
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Friday: Servant to Robinson Crusoe.
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Xury: Former servant to Crusoe. Is later given to the Portuguese Sea Captain as an indentured servant.
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The Widow: Friend to Robinson Crusoe. She looks over his assets while he is away.
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Portuguese Sea Captain: Helps save Robinson Crusoe from slavery. Is very generous and close with Crusoe; helps him with his money and plantation.
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The Spaniard: Rescued by Robinson Crusoe and helps him escape his island.
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Robinson Crusoe's father: A merchant named Kreutznaer.
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Robinson Crusoe was published in 1719 during the Enlightenment period of the 18th century. In the novel Crusoe sheds light on different aspects of Christianity and his beliefs. The book can be considered a spiritual autobiography as Crusoe's views on religion drastically change from the start of his story and then the end. In the beginning of the book Crusoe is concerned with sailing away from home, whereupon he meets violent storms at sea. He promises to God that if he survived that storm he would be a dutiful Christian man and head home according to his parent's wishes. However, when Crusoe survives the storm he decides to keep sailing and notes that he could not fulfil the promises he had made during his turmoil.[5]
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After Robinson is shipwrecked on his island he begins to suffer from extreme isolation. He turns to his animals to talk to, such as his parrot, but misses human contact. He turns to God during his time of turmoil in search of solace and guidance. He retrieves a Bible from a ship that was washed along the shore and begins to memorize verses. In times of trouble he would open the Bible to a random page where he would read a verse that he believed God had made him open and read, and that would ease his mind. Therefore, during the time in which Crusoe was shipwrecked he became very religious and often would turn to God for help.
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When Crusoe meets his servant Friday, he begins to teach him scripture and about Christianity. He tries to teach Friday to the best of his ability about God and what Heaven and Hell are. His purpose is to convert Friday into being a Christian and to his values and beliefs. “During the long time that Friday has now been with me, and that he began to speak to me, and understand me, I was not wanting to lay a foundation of religious knowledge in his mind; particularly I ask'd him one time who made him?” [6]
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There were many stories of real-life castaways in Defoe's time. Most famously, Defoe's suspected inspiration for Robinson Crusoe is thought to be Scottish sailor Alexander Selkirk, who spent four years on the uninhabited island of Más a Tierra (renamed Robinson Crusoe Island in 1966)[2] in the Juan Fernández Islands off the Chilean coast. Selkirk was rescued in 1709 by Woodes Rogers during an English expedition that led to the publication of Selkirk's adventures in both A Voyage to the South Sea, and Round the World and A Cruising Voyage Around the World in 1712. According to Tim Severin, "Daniel Defoe, a secretive man, neither confirmed or denied that Selkirk was the model for the hero of his book. Apparently written in six months or less, Robinson Crusoe was a publishing phenomenon.[7]
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The author of Crusoe's Island, Andrew Lambert states, "the ideas that a single, real Crusoe is a 'false premise' because Crusoe's story is a complex compound of all the other buccaneer survival stories."[8] However, Robinson Crusoe is far from a copy of Rogers' account: Becky Little argues three events that distinguish the two stories. Robinson Crusoe was shipwrecked while Selkirk decided to leave his ship thus marooning himself; the island Crusoe was shipwrecked on had already been inhabited, unlike the solitary nature of Selkirk's adventures. The last and most crucial difference between the two stories is Selkirk is a pirate, looting and raiding coastal cities. "The economic and dynamic thrust of the book is completely alien to what the buccaneers are doing," Lambert says. "The buccaneers just want to capture some loot and come home and drink it all, and Crusoe isn’t doing that at all. He's an economic imperialist. He's creating a world of trade and profit."
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Other possible sources for the narrative include Ibn Tufail's Hayy ibn Yaqdhan, and Spanish sixteenth-century sailor Pedro Serrano. Ibn Tufail's Hayy ibn Yaqdhan is a twelfth-century philosophical novel also set on a desert island and translated from Arabic into Latin and English a number of times in the half-century preceding Defoe's novel.[9][10][11][12]
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Pedro Luis Serrano was a Spanish sailor who was marooned for seven or eight years in the sixteenth century on a small desert island after shipwrecking on a small island in the Caribbean off the coast of Nicaragua in the 1520s. He had no access to fresh water and lived off the blood and flesh of sea turtles and birds. He was quite a celebrity when he returned to Europe and before passing away, he recorded the hardships suffered in documents that show the endless anguish and suffering, the product of absolute abandonment to his fate, now held in the General Archive of the Indies, in Seville. It is very likely that Defoe heard his story, 200 years old by then but still very popular, in one of his visits to Spain before becoming a writer.
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Yet another source for Defoe's novel may have been the Robert Knox account of his abduction by the King of Ceylon Rajasinha II of Kandy in 1659 in An Historical Relation of the Island Ceylon.[13][14]
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Tim Severin's book Seeking Robinson Crusoe (2002) unravels a much wider and more plausible range of potential sources of inspiration, and concludes by identifying castaway surgeon Henry Pitman as the most likely. An employee of the Duke of Monmouth, Pitman played a part in the Monmouth Rebellion. His short book about his desperate escape from a Caribbean penal colony, followed by his shipwrecking and subsequent desert island misadventures, was published by John Taylor of Paternoster Row, London, whose son William Taylor later published Defoe's novel. Severin argues that since Pitman appears to have lived in the lodgings above the father's publishing house and that Defoe himself was a mercer in the area at the time, Defoe may have met Pitman in person and learned of his experiences first-hand, or possibly through submission of a draft.[15] Severin also discusses another publicised case of a marooned man named only as Will, of the Miskito people of Central America, who may have led to the depiction of Friday.[16]
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Arthur Wellesley Secord in his Studies in the Narrative Method of Defoe (1963: 21–111) analyses the composition of Robinson Crusoe and gives a list of possible sources of the story, rejecting the common theory that the story of Selkirk is Defoe's only source.
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The book was published on 25 April 1719. Before the end of the year, this first volume had run through four editions.
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By the end of the nineteenth century, no book in the history of Western literature had more editions, spin-offs and translations (even into languages such as Inuktitut, Coptic and Maltese) than Robinson Crusoe, with more than 700 such alternative versions, including children's versions with pictures and no text.[17][18]
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The term "Robinsonade" was coined to describe the genre of stories similar to Robinson Crusoe.
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Defoe went on to write a lesser-known sequel, The Farther Adventures of Robinson Crusoe (1719). It was intended to be the last part of his stories, according to the original title page of the sequel's first edition, but a third book, Serious Reflections During the Life and Surprising Adventures of Robinson Crusoe: With his Vision of the Angelick World (1720), was written.
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Novelist James Joyce noted that the true symbol of the British Empire is Robinson Crusoe, to whom he ascribed stereotypical and somewhat hostile English racial characteristics: "He is the true prototype of the British colonist. ... The whole Anglo-Saxon spirit in Crusoe: the manly independence, the unconscious cruelty, the persistence, the slow yet efficient intelligence, the sexual apathy, the calculating taciturnity."[19] In a sense Crusoe attempts to replicate his society on the island. This is achieved through the use of European technology, agriculture and even a rudimentary political hierarchy. Several times in the novel Crusoe refers to himself as the "king" of the island, whilst the captain describes him as the "governor" to the mutineers. At the very end of the novel the island is explicitly referred to as a "colony". The idealised master-servant relationship Defoe depicts between Crusoe and Friday can also be seen in terms of cultural imperialism. Crusoe represents the "enlightened" European whilst Friday is the "savage" who can only be redeemed from his barbarous way of life through assimilation into Crusoe's culture. Nonetheless Defoe also takes the opportunity to criticise the historic Spanish conquest of South America.
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According to J. P. Hunter, Robinson is not a hero but an everyman. He begins as a wanderer, aimless on a sea he does not understand, and ends as a pilgrim, crossing a final mountain to enter the promised land. The book tells the story of how Robinson becomes closer to God, not through listening to sermons in a church but through spending time alone amongst nature with only a Bible to read.
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Conversely, cultural critic and literary scholar Michael Gurnow views the novel from a Rousseauian perspective. In "'The Folly of Beginning a Work Before We Count the Cost': Anarcho-Primitivism in Daniel Defoe's Robinson Crusoe", the central character's movement from a primitive state to a more civilized one is interpreted as Crusoe's denial of humanity's state of nature.[20]
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Robinson Crusoe is filled with religious aspects. Defoe was a Puritan moralist and normally worked in the guide tradition, writing books on how to be a good Puritan Christian, such as The New Family Instructor (1727) and Religious Courtship (1722). While Robinson Crusoe is far more than a guide, it shares many of the themes and theological and moral points of view. "Crusoe" may have been taken from Timothy Cruso, a classmate of Defoe's who had written guide books, including God the Guide of Youth (1695), before dying at an early age—just eight years before Defoe wrote Robinson Crusoe. Cruso would have been remembered by contemporaries and the association with guide books is clear. It has even been speculated that God the Guide of Youth inspired Robinson Crusoe because of a number of passages in that work that are closely tied to the novel.[21] A leitmotif of the novel is the Christian notion of Providence, penitence and redemption.[22] Crusoe comes to repent of the follies of his youth. Defoe also foregrounds this theme by arranging highly significant events in the novel to occur on Crusoe's birthday. The denouement culminates not only in Crusoe's deliverance from the island, but his spiritual deliverance, his acceptance of Christian doctrine, and in his intuition of his own salvation.
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When confronted with the cannibals, Crusoe wrestles with the problem of cultural relativism. Despite his disgust, he feels unjustified in holding the natives morally responsible for a practice so deeply ingrained in their culture. Nevertheless, he retains his belief in an absolute standard of morality; he regards cannibalism as a "national crime" and forbids Friday from practising it.
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In classical, neoclassical and Austrian economics, Crusoe is regularly used to illustrate the theory of production and choice in the absence of trade, money and prices.[23] Crusoe must allocate effort between production and leisure and must choose between alternative production possibilities to meet his needs. The arrival of Friday is then used to illustrate the possibility of trade and the gains that result.
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— Defoe's Robinson Crusoe, 1719
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The work has been variously read as an allegory for the development of civilisation; as a manifesto of economic individualism; and as an expression of European colonial desires. Significantly, it also shows the importance of repentance and illustrates the strength of Defoe's religious convictions. Critics such as Maximillian E. Novak support the connection between the religious and economic themes within Robinson Crusoe, citing Defoe's religious ideology as the influence for his portrayal of Crusoe's economic ideals and his support of the individual. Within his article "Robinson Crusoe's 'Original Sin'", Novak cites Ian Watt's extensive research in Watt's book, Myths of Modern Individualism: Faust, Don Quixote, Don Juan, Robinson Crusoe, in which Watt explores the impact that several Romantic Era novels had against economic individualism, and the reversal of those ideals that takes place within Robinson Crusoe.[24] In Tess Lewis's review, "The Heroes We Deserve", of Ian Watt's article, she furthers Watt's argument with a development on Defoe's intention as an author, "to use individualism to signify nonconformity in religion and the admirable qualities of self-reliance" (Lewis 678). This further supports the belief that Defoe used aspects of spiritual autobiography in order to introduce the benefits of individualism to a not entirely convinced religious community.[25] J. Paul Hunter has written extensively on the subject of Robinson Crusoe as apparent spiritual autobiography, tracing the influence of Defoe's Puritan ideology through Crusoe's narrative, and his acknowledgement of human imperfection in pursuit of meaningful spiritual engagements—the cycle of "repentance [and] deliverance."[26] This spiritual pattern and its episodic nature, as well as the re-discovery of earlier female novelists, have kept Robinson Crusoe from being classified as a novel, let alone the first novel written in English—despite the blurbs on some book covers. Early critics, such as Robert Louis Stevenson, admired it, saying that the footprint scene in Crusoe was one of the four greatest in English literature and most unforgettable; more prosaically, Dr. Wesley Vernon has seen the origins of forensic podiatry in this episode.[27] It has inspired a new genre, the Robinsonade, as works such as Johann David Wyss' The Swiss Family Robinson (1812) adapt its premise and has provoked modern postcolonial responses, including J. M. Coetzee's Foe (1986) and Michel Tournier's Vendredi ou les Limbes du Pacifique (in English, Friday, or, The Other Island) (1967). Two sequels followed, Defoe's The Farther Adventures of Robinson Crusoe (1719) and his Serious reflections during the life and surprising adventures of Robinson Crusoe: with his Vision of the angelick world (1720). Jonathan Swift's Gulliver's Travels (1726) in part parodies Defoe's adventure novel.
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The book proved so popular that the names of the two main protagonists have entered the language. During World War II, people who decided to stay and hide in the ruins of the German-occupied city of Warsaw for a period of three winter months, from October to January 1945, when they were rescued by the Red Army, were later called Robinson Crusoes of Warsaw (Robinsonowie warszawscy).[28] Robinson Crusoe usually referred to his servant as "my man Friday", from which the term "Man Friday" (or "Girl Friday") originated.
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Robinson Crusoe marked the beginning of realistic fiction as a literary genre.[29] Its success led to many imitators, and castaway novels, written by Ambrose Evans, Penelope Aubin, and others, became quite popular in Europe in the 18th and early 19th centuries.[30] Most of these have fallen into obscurity, but some became established, including The Swiss Family Robinson, which borrowed Crusoe's first name for its title.
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Jonathan Swift's Gulliver's Travels, published seven years after Robinson Crusoe, may be read as a systematic rebuttal of Defoe's optimistic account of human capability. In The Unthinkable Swift: The Spontaneous Philosophy of a Church of England Man, Warren Montag argues that Swift was concerned about refuting the notion that the individual precedes society, as Defoe's novel seems to suggest. In Treasure Island, author Robert Louis Stevenson parodies Crusoe with the character of Ben Gunn, a friendly castaway who was marooned for many years, has a wild appearance, dresses entirely in goat skin and constantly talks about providence.
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In Jean-Jacques Rousseau's treatise on education, Emile, or on Education, the one book the protagonist is allowed to read before the age of twelve is Robinson Crusoe. Rousseau wants Emile to identify himself as Crusoe so he can rely upon himself for all of his needs. In Rousseau's view, Emile needs to imitate Crusoe's experience, allowing necessity to determine what is to be learned and accomplished. This is one of the main themes of Rousseau's educational model.
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In The Tale of Little Pig Robinson, Beatrix Potter directs the reader to Robinson Crusoe for a detailed description of the island (the land of the Bong tree) to which her eponymous hero moves. In Wilkie Collins' most popular novel, The Moonstone, one of the chief characters and narrators, Gabriel Betteredge, has faith in all that Robinson Crusoe says and uses the book for a sort of divination. He considers The Adventures of Robinson Crusoe the finest book ever written, reads it over and over again, and considers a man but poorly read if he had happened not to read the book.
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French novelist Michel Tournier published Friday, or, The Other Island (French Vendredi ou les Limbes du Pacifique) in 1967. His novel explores themes including civilization versus nature, the psychology of solitude, as well as death and sexuality in a retelling of Defoe's Robinson Crusoe story. Tournier's Robinson chooses to remain on the island, rejecting civilization when offered the chance to escape 28 years after being shipwrecked. Likewise, in 1963, J. M. G. Le Clézio, winner of the 2008 Nobel Prize in Literature, published the novel Le Proces-Verbal. The book's epigraph is a quote from Robinson Crusoe, and like Crusoe, Adam Pollo suffers long periods of loneliness.
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"Crusoe in England", a 183-line poem by Elizabeth Bishop, imagines Crusoe near the end of his life, recalling his time of exile with a mixture of bemusement and regret.
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J. M. Coetzee's 1986 novel Foe recounts the tale of Robinson Crusoe from the perspective of a woman named Susan Barton.
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The story was also illustrated and published in comic book form by Classics Illustrated in 1943 and 1957. The much improved 1957 version was inked/penciled by Sam Citron, who is most well known for his contributions to the earlier issues of Superman.[31] British illustrator Reginald Ben Davis drew a female version of the story titled Jill Crusoe, Castaway (1950-1959).[32]
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A pantomime version of Robinson Crusoe was staged at the Theatre Royal, Drury Lane in 1796, with Joseph Grimaldi as Pierrot in the harlequinade. The piece was produced again in 1798, this time starring Grimaldi as Clown. In 1815, Grimaldi played Friday in another version of Robinson Crusoe.[33]
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Jacques Offenbach wrote an opéra comique called Robinson Crusoé, which was first performed at the Opéra-Comique in Paris on 23 November 1867. This was based on the British pantomime version rather than the novel itself. The libretto was by Eugène Cormon and Hector-Jonathan Crémieux.
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There have been a number of other stage adaptations, including those by Isaac Pocock, Jim Helsinger and Steve Shaw and a musical by Victor Prince.
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There is a 1927 silent film titled Robinson Crusoe. The Soviet 3D film Robinson Crusoe was produced in 1947. Luis Buñuel directed Adventures of Robinson Crusoe starring Dan O'Herlihy, released in 1954. Walt Disney later comedicized the novel with Lt. Robin Crusoe, U.S.N., featuring Dick Van Dyke. In this version, Friday became a beautiful woman, but named 'Wednesday' instead. Peter O'Toole and Richard Roundtree co-starred in a 1975 film Man Friday which sardonically portrayed Crusoe as incapable of seeing his dark-skinned companion as anything but an inferior creature, while Friday is more enlightened and sympathetic. In 1988, Aidan Quinn portrayed Robinson Crusoe in the film Crusoe. A 1997 movie entitled Robinson Crusoe starred Pierce Brosnan and received limited commercial success. Variations on the theme include the 1954 Miss Robin Crusoe, with a female castaway, played by Amanda Blake, and a female Friday, and the 1964 film Robinson Crusoe on Mars, starring Paul Mantee, with an alien Friday portrayed by Victor Lundin and an added character played by Adam West. The 2000 film Cast Away, with Tom Hanks as a FedEx employee stranded on an Island for many years, also borrows much from the Robinson Crusoe story.
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In 1964 a French film production crew made a 13-part serial of The Adventures of Robinson Crusoe. It starred Robert Hoffmann. The black and white series was dubbed into English and German. In the UK, the BBC broadcast it on numerous occasions between 1965 and 1977. In 1981 Czechoslovakian director and animator Stanislav Látal made a version of the story under the name Adventures of Robinson Crusoe, a Sailor from York combining traditional and stop-motion animation. The movie was coproduced by regional West Germany broadcaster Südwestfunk Baden-Baden.
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In 1988, an animated cartoon for children called Classic Adventure Stories Robinson Crusoe was released. Crusoe's early sea travels are simplified, as his ship outruns the Salé Rovers pirates but then gets wrecked in a storm.[2]
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Two 2000s reality television series, Expedition Robinson and Survivor, have their contestants try to survive on an isolated location, usually an island. The concept is influenced by Robinson Crusoe.
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The term inverted Crusoeism is coined by J. G. Ballard. The paradigm of Robinson Crusoe has been a recurring topic in Ballard’s work.[34] Whereas the original Robinson Crusoe became a castaway against his own will, Ballard's protagonists often choose to maroon themselves; hence inverted Crusoeism (e.g., Concrete Island). The concept provides a reason as to why people would deliberately maroon themselves on a remote island; in Ballard’s work, becoming a castaway is as much a healing and empowering process as an entrapping one, enabling people to discover a more meaningful and vital existence.[35]
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Musician Dean briefly mentions Crusoe in one of his music videos. In the official music video for Instagram, there is a part when viewers hear Dean's distorted voice; "Sometimes, I feel alone . . . I feel like I'm Robinson Crusoe . . ."
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Robinson Crusoe is also mentioned in the song "I'm a Dog" by Canadian band Crash Test Dummies.[36] Written from the perspective of a dog puzzling over human philosophy, the song has this stanza:
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1 |
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A robot is a machine—especially one programmable by a computer— capable of carrying out a complex series of actions automatically.[2] Robots can be guided by an external control device or the control may be embedded within. Robots may be constructed on the lines of human form, but most robots are machines designed to perform a task with no regard to their aesthetics.
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Robots can be autonomous or semi-autonomous and range from humanoids such as Honda's Advanced Step in Innovative Mobility (ASIMO) and TOSY's TOSY Ping Pong Playing Robot (TOPIO) to industrial robots, medical operating robots, patient assist robots, dog therapy robots, collectively programmed swarm robots, UAV drones such as General Atomics MQ-1 Predator, and even microscopic nano robots. By mimicking a lifelike appearance or automating movements, a robot may convey a sense of intelligence or thought of its own. Autonomous things are expected to proliferate in the coming decade,[3] with home robotics and the autonomous car as some of the main drivers.[4]
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The branch of technology that deals with the design, construction, operation, and application of robots,[5] as well as computer systems for their control, sensory feedback, and information processing is robotics. These technologies deal with automated machines that can take the place of humans in dangerous environments or manufacturing processes, or resemble humans in appearance, behavior, or cognition. Many of today's robots are inspired by nature contributing to the field of bio-inspired robotics. These robots have also created a newer branch of robotics: soft robotics.
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From the time of ancient civilization there have been many accounts of user-configurable automated devices and even automata resembling animals and humans, designed primarily as entertainment. As mechanical techniques developed through the Industrial age, there appeared more practical applications such as automated machines, remote-control and wireless remote-control.
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The term comes from a Slavic root, robot-, with meanings associated with labor. The word 'robot' was first used to denote a fictional humanoid in a 1920 Czech-language play R.U.R. (Rossumovi Univerzální Roboti - Rossum's Universal Robots) by Karel Čapek, though it was Karel's brother Josef Čapek who was the word's true inventor.[6][7][8]
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Electronics evolved into the driving force of development with the advent of the first electronic autonomous robots created by William Grey Walter in Bristol, England in 1948, as well as Computer Numerical Control (CNC) machine tools in the late 1940s by John T. Parsons and Frank L. Stulen. The first commercial, digital and programmable robot was built by George Devol in 1954 and was named the Unimate. It was sold to General Motors in 1961 where it was used to lift pieces of hot metal from die casting machines at the Inland Fisher Guide Plant in the West Trenton section of Ewing Township, New Jersey.[9]
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Robots have replaced humans[10] in performing repetitive and dangerous tasks which humans prefer not to do, or are unable to do because of size limitations, or which take place in extreme environments such as outer space or the bottom of the sea. There are concerns about the increasing use of robots and their role in society. Robots are blamed for rising technological unemployment as they replace workers in increasing numbers of functions.[11] The use of robots in military combat raises ethical concerns. The possibilities of robot autonomy and potential repercussions have been addressed in fiction and may be a realistic concern in the future.
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The word robot can refer to both physical robots and virtual software agents, but the latter are usually referred to as bots.[12] There is no consensus on which machines qualify as robots but there is general agreement among experts, and the public, that robots tend to possess some or all of the following abilities and functions: accept electronic programming, process data or physical perceptions electronically, operate autonomously to some degree, move around, operate physical parts of itself or physical processes, sense and manipulate their environment, and exhibit intelligent behavior, especially behavior which mimics humans or other animals.[13][14] Closely related to the concept of a robot is the field of Synthetic Biology, which studies entities whose nature is more comparable to beings than to machines.
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The idea of automata originates in the mythologies of many cultures around the world. Engineers and inventors from ancient civilizations, including Ancient China,[15] Ancient Greece, and Ptolemaic Egypt,[16] attempted to build self-operating machines, some resembling animals and humans. Early descriptions of automata include the artificial doves of Archytas,[17] the artificial birds of Mozi and Lu Ban,[18] a "speaking" automaton by Hero of Alexandria, a washstand automaton by Philo of Byzantium, and a human automaton described in the Lie Zi.[15]
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Many ancient mythologies, and most modern religions include artificial people, such as the mechanical servants built by the Greek god Hephaestus[19] (Vulcan to the Romans), the clay golems of Jewish legend and clay giants of Norse legend, and Galatea, the mythical statue of Pygmalion that came to life. Since circa 400 BC, myths of Crete include Talos, a man of bronze who guarded the island from pirates.
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In ancient Greece, the Greek engineer Ctesibius (c. 270 BC) "applied a knowledge of pneumatics and hydraulics to produce the first organ and water clocks with moving figures."[20][21] In the 4th century BC, the Greek mathematician Archytas of Tarentum postulated a mechanical steam-operated bird he called "The Pigeon". Hero of Alexandria (10–70 AD), a Greek mathematician and inventor, created numerous user-configurable automated devices, and described machines powered by air pressure, steam and water.[22]
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The 11th century Lokapannatti tells of how the Buddha's relics were protected by mechanical robots (bhuta vahana yanta), from the kingdom of Roma visaya (Rome); until they were disarmed by King Ashoka. [23] [24]
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In ancient China, the 3rd-century text of the Lie Zi describes an account of humanoid automata, involving a much earlier encounter between Chinese emperor King Mu of Zhou and a mechanical engineer known as Yan Shi, an 'artificer'. Yan Shi proudly presented the king with a life-size, human-shaped figure of his mechanical 'handiwork' made of leather, wood, and artificial organs.[15] There are also accounts of flying automata in the Han Fei Zi and other texts, which attributes the 5th century BC Mohist philosopher Mozi and his contemporary Lu Ban with the invention of artificial wooden birds (ma yuan) that could successfully fly.[18]
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In 1066, the Chinese inventor Su Song built a water clock in the form of a tower which featured mechanical figurines which chimed the hours.[25][26][27] His mechanism had a programmable drum machine with pegs (cams) that bumped into little levers that operated percussion instruments. The drummer could be made to play different rhythms and different drum patterns by moving the pegs to different locations.[27]
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Samarangana Sutradhara, a Sanskrit treatise by Bhoja (11th century), includes a chapter about the construction of mechanical contrivances (automata), including mechanical bees and birds, fountains shaped like humans and animals, and male and female dolls that refilled oil lamps, danced, played instruments, and re-enacted scenes from Hindu mythology.[28][29][30]
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13th century Muslim Scientist Ismail al-Jazari created several automated devices. He built automated moving peacocks driven by hydropower.[31] He also invented the earliest known automatic gates, which were driven by hydropower,[32] created automatic doors as part of one of his elaborate water clocks.[33] One of al-Jazari's humanoid automata was a waitress that could serve water, tea or drinks. The drink was stored in a tank with a reservoir from where the drink drips into a bucket and, after seven minutes, into a cup, after which the waitress appears out of an automatic door serving the drink.[34] Al-Jazari invented a hand washing automaton incorporating a flush mechanism now used in modern flush toilets. It features a female humanoid automaton standing by a basin filled with water. When the user pulls the lever, the water drains and the female automaton refills the basin.[35]
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Mark E. Rosheim summarizes the advances in robotics made by Muslim engineers, especially al-Jazari, as follows:
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Unlike the Greek designs, these Arab examples reveal an interest, not only in dramatic illusion, but in manipulating the environment for human comfort. Thus, the greatest contribution the Arabs made, besides preserving, disseminating and building on the work of the Greeks, was the concept of practical application. This was the key element that was missing in Greek robotic science.[36]
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In Renaissance Italy, Leonardo da Vinci (1452–1519) sketched plans for a humanoid robot around 1495. Da Vinci's notebooks, rediscovered in the 1950s, contained detailed drawings of a mechanical knight now known as Leonardo's robot, able to sit up, wave its arms and move its head and jaw.[38] The design was probably based on anatomical research recorded in his Vitruvian Man. It is not known whether he attempted to build it. According to Encyclopædia Britannica, Leonardo da Vinci may have been influenced by the classic automata of al-Jazari.[31]
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In Japan, complex animal and human automata were built between the 17th to 19th centuries, with many described in the 18th century Karakuri zui (Illustrated Machinery, 1796). One such automaton was the karakuri ningyō, a mechanized puppet.[39] Different variations of the karakuri existed: the Butai karakuri, which were used in theatre, the Zashiki karakuri, which were small and used in homes, and the Dashi karakuri which were used in religious festivals, where the puppets were used to perform reenactments of traditional myths and legends.
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In France, between 1738 and 1739, Jacques de Vaucanson exhibited several life-sized automatons: a flute player, a pipe player and a duck. The mechanical duck could flap its wings, crane its neck, and swallow food from the exhibitor's hand, and it gave the illusion of digesting its food by excreting matter stored in a hidden compartment.[40]
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Remotely operated vehicles were demonstrated in the late 19th century in the form of several types of remotely controlled torpedoes. The early 1870s saw remotely controlled torpedoes by John Ericsson (pneumatic), John Louis Lay (electric wire guided), and Victor von Scheliha (electric wire guided).[41]
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The Brennan torpedo, invented by Louis Brennan in 1877, was powered by two contra-rotating propellors that were spun by rapidly pulling out wires from drums wound inside the torpedo. Differential speed on the wires connected to the shore station allowed the torpedo to be guided to its target, making it "the world's first practical guided missile".[42] In 1897 the British inventor Ernest Wilson was granted a patent for a torpedo remotely controlled by "Hertzian" (radio) waves[43][44] and in 1898 Nikola Tesla publicly demonstrated a wireless-controlled torpedo that he hoped to sell to the US Navy.[45][46]
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Archibald Low, known as the "father of radio guidance systems" for his pioneering work on guided rockets and planes during the First World War. In 1917, he demonstrated a remote controlled aircraft to the Royal Flying Corps and in the same year built the first wire-guided rocket.
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'Robot' was first applied as a term for artificial automata in the 1920 play R.U.R. by the Czech writer, Karel Čapek. However, Josef Čapek was named by his brother Karel as the true inventor of the term robot.[7][8] The word 'robot' itself was not new, having been in the Slavic language as robota (forced laborer), a term which classified those peasants obligated to compulsory service under the feudal system (see: Robot Patent).[47][48]
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Čapek's fictional story postulated the technological creation of artificial human bodies without souls, and the old theme of the feudal robota class eloquently fit the imagination of a new class of manufactured, artificial workers.
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English pronunciation of the word has evolved relatively quickly since its introduction. In the U.S. during the late '30s to early '40s the second sylable was pronounced with a long "O" like "row-boat."[49][better source needed] By the late '50s to early '60s, some were pronouncing it with a short "U" like "row-but" while others used a softer "O" like "row-bought."[50] By the '70s, its current pronunciation "row-bot" had become predominant.
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In 1928, one of the first humanoid robots, Eric, was exhibited at the annual exhibition of the Model Engineers Society in London, where it delivered a speech. Invented by W. H. Richards, the robot's frame consisted of an aluminium body of armour with eleven electromagnets and one motor powered by a twelve-volt power source. The robot could move its hands and head and could be controlled through remote control or voice control.[51] Both Eric and his "brother" George toured the world.[52]
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Westinghouse Electric Corporation built Televox in 1926; it was a cardboard cutout connected to various devices which users could turn on and off. In 1939, the humanoid robot known as Elektro was debuted at the 1939 New York World's Fair.[53][54] Seven feet tall (2.1 m) and weighing 265 pounds (120.2 kg), it could walk by voice command, speak about 700 words (using a 78-rpm record player), smoke cigarettes, blow up balloons, and move its head and arms. The body consisted of a steel gear, cam and motor skeleton covered by an aluminum skin. In 1928, Japan's first robot, Gakutensoku, was designed and constructed by biologist Makoto Nishimura.
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The first electronic autonomous robots with complex behaviour were created by William Grey Walter of the Burden Neurological Institute at Bristol, England in 1948 and 1949. He wanted to prove that rich connections between a small number of brain cells could give rise to very complex behaviors – essentially that the secret of how the brain worked lay in how it was wired up. His first robots, named Elmer and Elsie, were constructed between 1948 and 1949 and were often described as tortoises due to their shape and slow rate of movement. The three-wheeled tortoise robots were capable of phototaxis, by which they could find their way to a recharging station when they ran low on battery power.
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Walter stressed the importance of using purely analogue electronics to simulate brain processes at a time when his contemporaries such as Alan Turing and John von Neumann were all turning towards a view of mental processes in terms of digital computation. His work inspired subsequent generations of robotics researchers such as Rodney Brooks, Hans Moravec and Mark Tilden. Modern incarnations of Walter's turtles may be found in the form of BEAM robotics.[55]
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The first digitally operated and programmable robot was invented by George Devol in 1954 and was ultimately called the Unimate. This ultimately laid the foundations of the modern robotics industry.[56] Devol sold the first Unimate to General Motors in 1960, and it was installed in 1961 in a plant in Trenton, New Jersey to lift hot pieces of metal from a die casting machine and stack them.[57] Devol's patent for the first digitally operated programmable robotic arm represents the foundation of the modern robotics industry.[58]
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The first palletizing robot was introduced in 1963 by the Fuji Yusoki Kogyo Company.[59] In 1973, a robot with six electromechanically driven axes was patented[60][61][62] by KUKA robotics in Germany, and the programmable universal manipulation arm was invented by Victor Scheinman in 1976, and the design was sold to Unimation.
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Commercial and industrial robots are now in widespread use performing jobs more cheaply or with greater accuracy and reliability than humans. They are also employed for jobs which are too dirty, dangerous or dull to be suitable for humans. Robots are widely used in manufacturing, assembly and packing, transport, earth and space exploration, surgery, weaponry, laboratory research, and mass production of consumer and industrial goods.[63]
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Various techniques have emerged to develop the science of robotics and robots. One method is evolutionary robotics, in which a number of differing robots are submitted to tests. Those which perform best are used as a model to create a subsequent "generation" of robots. Another method is developmental robotics, which tracks changes and development within a single robot in the areas of problem-solving and other functions. Another new type of robot is just recently introduced which acts both as a smartphone and robot and is named RoboHon.[64]
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As robots become more advanced, eventually there may be a standard computer operating system designed mainly for robots. Robot Operating System is an open-source set of programs being developed at Stanford University, the Massachusetts Institute of Technology and the Technical University of Munich, Germany, among others. ROS provides ways to program a robot's navigation and limbs regardless of the specific hardware involved. It also provides high-level commands for items like image recognition and even opening doors. When ROS boots up on a robot's computer, it would obtain data on attributes such as the length and movement of robots' limbs. It would relay this data to higher-level algorithms. Microsoft is also developing a "Windows for robots" system with its Robotics Developer Studio, which has been available since 2007.[65]
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Japan hopes to have full-scale commercialization of service robots by 2025. Much technological research in Japan is led by Japanese government agencies, particularly the Trade Ministry.[66]
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Many future applications of robotics seem obvious to people, even though they are well beyond the capabilities of robots available at the time of the prediction.[67][68]
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As early as 1982 people were confident that someday robots would:[69]
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1. Clean parts by removing molding flash
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2. Spray paint automobiles with absolutely no human presence
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3. Pack things in boxes—for example, orient and nest chocolate candies in candy boxes
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4. Make electrical cable harness
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5. Load trucks with boxes—a packing problem
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6. Handle soft goods, such as garments and shoes
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7. Shear sheep
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8. prosthesis
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9. Cook fast food and work in other service industries
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10. Household robot.
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Generally such predictions are overly optimistic in timescale.
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In 2008, Caterpillar Inc. developed a dump truck which can drive itself without any human operator.[70] Many analysts believe that self-driving trucks may eventually revolutionize logistics.[71] By 2014, Caterpillar had a self-driving dump truck which is expected to greatly change the process of mining. In 2015, these Caterpillar trucks were actively used in mining operations in Australia by the mining company Rio Tinto Coal Australia.[72][73][74][75] Some analysts believe that within the next few decades, most trucks will be self-driving.[76]
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A literate or 'reading robot' named Marge has intelligence that comes from software. She can read newspapers, find and correct misspelled words, learn about banks like Barclays, and understand that some restaurants are better places to eat than others.[77]
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Baxter is a new robot introduced in 2012 which learns by guidance. A worker could teach Baxter how to perform a task by moving its hands in the desired motion and having Baxter memorize them. Extra dials, buttons, and controls are available on Baxter's arm for more precision and features. Any regular worker could program Baxter and it only takes a matter of minutes, unlike usual industrial robots that take extensive programs and coding in order to be used. This means Baxter needs no programming in order to operate. No software engineers are needed. This also means Baxter can be taught to perform multiple, more complicated tasks. Sawyer was added in 2015 for smaller, more precise tasks.[78]
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The word robot was introduced to the public by the Czech interwar writer Karel Čapek in his play R.U.R. (Rossum's Universal Robots), published in 1920.[79] The play begins in a factory that uses a chemical substitute for protoplasm to manufacture living, simplified people called robots. The play does not focus in detail on the technology behind the creation of these living creatures, but in their appearance they prefigure modern ideas of androids, creatures who can be mistaken for humans. These mass-produced workers are depicted as efficient but emotionless, incapable of original thinking and indifferent to self-preservation. At issue is whether the robots are being exploited and the consequences of human dependence upon commodified labor (especially after a number of specially-formulated robots achieve self-awareness and incite robots all around the world to rise up against the humans).
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Karel Čapek himself did not coin the word. He wrote a short letter in reference to an etymology in the Oxford English Dictionary in which he named his brother, the painter and writer Josef Čapek, as its actual originator.[79]
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In an article in the Czech journal Lidové noviny in 1933, he explained that he had originally wanted to call the creatures laboři ("workers", from Latin labor). However, he did not like the word, and sought advice from his brother Josef, who suggested "roboti". The word robota means literally "corvée", "serf labor", and figuratively "drudgery" or "hard work" in Czech and also (more general) "work", "labor" in many Slavic languages (e.g.: Bulgarian, Russian, Serbian, Slovak, Polish, Macedonian, Ukrainian, archaic Czech, as well as robot in Hungarian). Traditionally the robota (Hungarian robot) was the work period a serf (corvée) had to give for his lord, typically 6 months of the year. The origin of the word is the Old Church Slavonic (Old Bulgarian) rabota "servitude" ("work" in contemporary Bulgarian and Russian), which in turn comes from the Proto-Indo-European root *orbh-. Robot is cognate with the German root Arbeit (work).[80][81]
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The word robotics, used to describe this field of study,[5] was coined by the science fiction writer Isaac Asimov. Asimov created the "Three Laws of Robotics" which are a recurring theme in his books. These have since been used by many others to define laws used in fiction. (The three laws are pure fiction, and no technology yet created has the ability to understand or follow them, and in fact most robots serve military purposes, which run quite contrary to the first law and often the third law. "People think about Asimov's laws, but they were set up to point out how a simple ethical system doesn't work. If you read the short stories, every single one is about a failure, and they are totally impractical," said Dr. Joanna Bryson of the University of Bath.[82])
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Mobile robots[83] have the capability to move around in their environment and are not fixed to one physical location. An example of a mobile robot that is in common use today is the automated guided vehicle or automatic guided vehicle (AGV). An AGV is a mobile robot that follows markers or wires in the floor, or uses vision or lasers.[84] AGVs are discussed later in this article.
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Mobile robots are also found in industry, military and security environments.[85] They also appear as consumer products, for entertainment or to perform certain tasks like vacuum cleaning. Mobile robots are the focus of a great deal of current research and almost every major university has one or more labs that focus on mobile robot research.[citation needed]
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Mobile robots are usually used in tightly controlled environments such as on assembly lines because they have difficulty responding to unexpected interference. Because of this most humans rarely encounter robots. However domestic robots for cleaning and maintenance are increasingly common in and around homes in developed countries. Robots can also be found in military applications.[citation needed]
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Industrial robots usually consist of a jointed arm (multi-linked manipulator) and an end effector that is attached to a fixed surface. One of the most common type of end effector is a gripper assembly.
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The International Organization for Standardization gives a definition of a manipulating industrial robot in ISO 8373:
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"an automatically controlled, reprogrammable, multipurpose, manipulator programmable in three or more axes, which may be either fixed in place or mobile for use in industrial automation applications."[86]
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This definition is used by the International Federation of Robotics, the European Robotics Research Network (EURON) and many national standards committees.[87]
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Most commonly industrial robots are fixed robotic arms and manipulators used primarily for production and distribution of goods. The term "service robot" is less well-defined. The International Federation of Robotics has proposed a tentative definition, "A service robot is a robot which operates semi- or fully autonomously to perform services useful to the well-being of humans and equipment, excluding manufacturing operations."[88]
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Robots are used as educational assistants to teachers. From the 1980s, robots such as turtles were used in schools and programmed using the Logo language.[89][90]
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There are robot kits like Lego Mindstorms, BIOLOID, OLLO from ROBOTIS, or BotBrain Educational Robots can help children to learn about mathematics, physics, programming, and electronics. Robotics have also been introduced into the lives of elementary and high school students in the form of robot competitions with the company FIRST (For Inspiration and Recognition of Science and Technology). The organization is the foundation for the FIRST Robotics Competition, FIRST LEGO League, Junior FIRST LEGO League, and FIRST Tech Challenge competitions.
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There have also been robots such as the teaching computer, Leachim (1974).[91] Leachim was an early example of speech synthesis using the using the Diphone synthesis method. 2-XL (1976) was a robot shaped game / teaching toy based on branching between audible tracks on an 8-track tape player, both invented by Michael J. Freeman.[92] Later, the 8-track was upgraded to tape cassettes and then to digital.
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Modular robots are a new breed of robots that are designed to increase the utilization of robots by modularizing their architecture.[93] The functionality and effectiveness of a modular robot is easier to increase compared to conventional robots. These robots are composed of a single type of identical, several different identical module types, or similarly shaped modules, which vary in size. Their architectural structure allows hyper-redundancy for modular robots, as they can be designed with more than 8 degrees of freedom (DOF). Creating the programming, inverse kinematics and dynamics for modular robots is more complex than with traditional robots. Modular robots may be composed of L-shaped modules, cubic modules, and U and H-shaped modules. ANAT technology, an early modular robotic technology patented by Robotics Design Inc., allows the creation of modular robots from U and H shaped modules that connect in a chain, and are used to form heterogeneous and homogenous modular robot systems. These "ANAT robots" can be designed with "n" DOF as each module is a complete motorized robotic system that folds relatively to the modules connected before and after it in its chain, and therefore a single module allows one degree of freedom. The more modules that are connected to one another, the more degrees of freedom it will have. L-shaped modules can also be designed in a chain, and must become increasingly smaller as the size of the chain increases, as payloads attached to the end of the chain place a greater strain on modules that are further from the base. ANAT H-shaped modules do not suffer from this problem, as their design allows a modular robot to distribute pressure and impacts evenly amongst other attached modules, and therefore payload-carrying capacity does not decrease as the length of the arm increases. Modular robots can be manually or self-reconfigured to form a different robot, that may perform different applications. Because modular robots of the same architecture type are composed of modules that compose different modular robots, a snake-arm robot can combine with another to form a dual or quadra-arm robot, or can split into several mobile robots, and mobile robots can split into multiple smaller ones, or combine with others into a larger or different one. This allows a single modular robot the ability to be fully specialized in a single task, as well as the capacity to be specialized to perform multiple different tasks.
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Modular robotic technology is currently being applied in hybrid transportation,[94] industrial automation,[95] duct cleaning[96] and handling. Many research centres and universities have also studied this technology, and have developed prototypes.
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A collaborative robot or cobot is a robot that can safely and effectively interact with human workers while performing simple industrial tasks. However, end-effectors and other environmental conditions may create hazards, and as such risk assessments should be done before using any industrial motion-control application.[97]
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The collaborative robots most widely used in industries today are manufactured by Universal Robots in Denmark.[98]
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Rethink Robotics—founded by Rodney Brooks, previously with iRobot—introduced Baxter in September 2012; as an industrial robot designed to safely interact with neighboring human workers, and be programmable for performing simple tasks.[99] Baxters stop if they detect a human in the way of their robotic arms and have prominent off switches. Intended for sale to small businesses, they are promoted as the robotic analogue of the personal computer.[100] As of May 2014[update], 190 companies in the US have bought Baxters and they are being used commercially in the UK.[11]
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Roughly half of all the robots in the world are in Asia, 32% in Europe, and 16% in North America, 1% in Australasia and 1% in Africa.[103] 40% of all the robots in the world are in Japan,[104] making Japan the country with the highest number of robots.
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As robots have become more advanced and sophisticated, experts and academics have increasingly explored the questions of what ethics might govern robots' behavior,[106] and whether robots might be able to claim any kind of social, cultural, ethical or legal rights.[107] One scientific team has said that it is possible that a robot brain will exist by 2019.[108] Others predict robot intelligence breakthroughs by 2050.[109] Recent advances have made robotic behavior more sophisticated.[110] The social impact of intelligent robots is subject of a 2010 documentary film called Plug & Pray.[111]
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Vernor Vinge has suggested that a moment may come when computers and robots are smarter than humans. He calls this "the Singularity".[112] He suggests that it may be somewhat or possibly very dangerous for humans.[113] This is discussed by a philosophy called Singularitarianism.
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In 2009, experts attended a conference hosted by the Association for the Advancement of Artificial Intelligence (AAAI) to discuss whether computers and robots might be able to acquire any autonomy, and how much these abilities might pose a threat or hazard. They noted that some robots have acquired various forms of semi-autonomy, including being able to find power sources on their own and being able to independently choose targets to attack with weapons. They also noted that some computer viruses can evade elimination and have achieved "cockroach intelligence." They noted that self-awareness as depicted in science-fiction is probably unlikely, but that there were other potential hazards and pitfalls.[112] Various media sources and scientific groups have noted separate trends in differing areas which might together result in greater robotic functionalities and autonomy, and which pose some inherent concerns.[114][115][116] In 2015, the Nao alderen robots were shown to have a capability for a degree of self-awareness. Researchers at the Rensselaer Polytechnic Institute AI and Reasoning Lab in New York conducted an experiment where a robot became aware of itself, and corrected its answer to a question once it had realised this.[117]
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Some experts and academics have questioned the use of robots for military combat, especially when such robots are given some degree of autonomous functions.[118] There are also concerns about technology which might allow some armed robots to be controlled mainly by other robots.[119] The US Navy has funded a report which indicates that, as military robots become more complex, there should be greater attention to implications of their ability to make autonomous decisions.[120][121] One researcher states that autonomous robots might be more humane, as they could make decisions more effectively. However, other experts question this.[122]
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One robot in particular, the EATR, has generated public concerns[123] over its fuel source, as it can continually refuel itself using organic substances.[124] Although the engine for the EATR is designed to run on biomass and vegetation[125] specifically selected by its sensors, which it can find on battlefields or other local environments, the project has stated that chicken fat can also be used.[126]
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Manuel De Landa has noted that "smart missiles" and autonomous bombs equipped with artificial perception can be considered robots, as they make some of their decisions autonomously. He believes this represents an important and dangerous trend in which humans are handing over important decisions to machines.[127]
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For centuries, people have predicted that machines would make workers obsolete and increase unemployment, although the causes of unemployment are usually thought to be due to social policy.[128]
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A recent example of human replacement involves Taiwanese technology company Foxconn who, in July 2011, announced a three-year plan to replace workers with more robots. At present the company uses ten thousand robots but will increase them to a million robots over a three-year period.[129]
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Lawyers have speculated that an increased prevalence of robots in the workplace could lead to the need to improve redundancy laws.[130]
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Kevin J. Delaney said "Robots are taking human jobs. But Bill Gates believes that governments should tax companies’ use of them, as a way to at least temporarily slow the spread of automation and to fund other types of employment."[131] The robot tax would also help pay a guaranteed living wage to the displaced workers.
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The World Bank's World Development Report 2019 puts forth evidence showing that while automation displaces workers, technological innovation creates more new industries and jobs on balance.[132]
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At present, there are two main types of robots, based on their use: general-purpose autonomous robots and dedicated robots.
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Robots can be classified by their specificity of purpose. A robot might be designed to perform one particular task extremely well, or a range of tasks less well. All robots by their nature can be re-programmed to behave differently, but some are limited by their physical form. For example, a factory robot arm can perform jobs such as cutting, welding, gluing, or acting as a fairground ride, while a pick-and-place robot can only populate printed circuit boards.
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General-purpose autonomous robots can perform a variety of functions independently. General-purpose autonomous robots typically can navigate independently in known spaces, handle their own re-charging needs, interface with electronic doors and elevators and perform other basic tasks. Like computers, general-purpose robots can link with networks, software and accessories that increase their usefulness. They may recognize people or objects, talk, provide companionship, monitor environmental quality, respond to alarms, pick up supplies and perform other useful tasks. General-purpose robots may perform a variety of functions simultaneously or they may take on different roles at different times of day. Some such robots try to mimic human beings and may even resemble people in appearance; this type of robot is called a humanoid robot. Humanoid robots are still in a very limited stage, as no humanoid robot can, as of yet, actually navigate around a room that it has never been in.[citation needed] Thus, humanoid robots are really quite limited, despite their intelligent behaviors in their well-known environments.
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Over the last three decades, automobile factories have become dominated by robots. A typical factory contains hundreds of industrial robots working on fully automated production lines, with one robot for every ten human workers. On an automated production line, a vehicle chassis on a conveyor is welded, glued, painted and finally assembled at a sequence of robot stations.
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Industrial robots are also used extensively for palletizing and packaging of manufactured goods, for example for rapidly taking drink cartons from the end of a conveyor belt and placing them into boxes, or for loading and unloading machining centers.
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Mass-produced printed circuit boards (PCBs) are almost exclusively manufactured by pick-and-place robots, typically with SCARA manipulators, which remove tiny electronic components from strips or trays, and place them on to PCBs with great accuracy.[133] Such robots can place hundreds of thousands of components per hour, far out-performing a human in speed, accuracy, and reliability.[134]
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Mobile robots, following markers or wires in the floor, or using vision[84] or lasers, are used to transport goods around large facilities, such as warehouses, container ports, or hospitals.[135]
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Limited to tasks that could be accurately defined and had to be performed the same way every time. Very little feedback or intelligence was required, and the robots needed only the most basic exteroceptors (sensors). The limitations of these AGVs are that their paths are not easily altered and they cannot alter their paths if obstacles block them. If one AGV breaks down, it may stop the entire operation.
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Developed to deploy triangulation from beacons or bar code grids for scanning on the floor or ceiling. In most factories, triangulation systems tend to require moderate to high maintenance, such as daily cleaning of all beacons or bar codes. Also, if a tall pallet or large vehicle blocks beacons or a bar code is marred, AGVs may become lost. Often such AGVs are designed to be used in human-free environments.
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Such as SmartLoader,[136] SpeciMinder,[137] ADAM,[138] Tug[139] Eskorta,[140] and MT 400 with Motivity[141] are designed for people-friendly workspaces. They navigate by recognizing natural features. 3D scanners or other means of sensing the environment in two or three dimensions help to eliminate cumulative errors in dead-reckoning calculations of the AGV's current position. Some AGVs can create maps of their environment using scanning lasers with simultaneous localization and mapping (SLAM) and use those maps to navigate in real time with other path planning and obstacle avoidance algorithms. They are able to operate in complex environments and perform non-repetitive and non-sequential tasks such as transporting photomasks in a semiconductor lab, specimens in hospitals and goods in warehouses. For dynamic areas, such as warehouses full of pallets, AGVs require additional strategies using three-dimensional sensors such as time-of-flight or stereovision cameras.
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There are many jobs which humans would rather leave to robots. The job may be boring, such as domestic cleaning or sports field line marking, or dangerous, such as exploring inside a volcano.[142] Other jobs are physically inaccessible, such as exploring another planet,[143] cleaning the inside of a long pipe, or performing laparoscopic surgery.[144]
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Almost every unmanned space probe ever launched was a robot.[145][146] Some were launched in the 1960s with very limited abilities, but their ability to fly and land (in the case of Luna 9) is an indication of their status as a robot. This includes the Voyager probes and the Galileo probes, among others.
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Teleoperated robots, or telerobots, are devices remotely operated from a distance by a human operator rather than following a predetermined sequence of movements, but which has semi-autonomous behaviour. They are used when a human cannot be present on site to perform a job because it is dangerous, far away, or inaccessible. The robot may be in another room or another country, or may be on a very different scale to the operator. For instance, a laparoscopic surgery robot allows the surgeon to work inside a human patient on a relatively small scale compared to open surgery, significantly shortening recovery time.[144] They can also be used to avoid exposing workers to the hazardous and tight spaces such as in duct cleaning. When disabling a bomb, the operator sends a small robot to disable it. Several authors have been using a device called the Longpen to sign books remotely.[147] Teleoperated robot aircraft, like the Predator Unmanned Aerial Vehicle, are increasingly being used by the military. These pilotless drones can search terrain and fire on targets.[148][149] Hundreds of robots such as iRobot's Packbot and the Foster-Miller TALON are being used in Iraq and Afghanistan by the U.S. military to defuse roadside bombs or improvised explosive devices (IEDs) in an activity known as explosive ordnance disposal (EOD).[150]
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Robots are used to automate picking fruit on orchards at a cost lower than that of human pickers.
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Domestic robots are simple robots dedicated to a single task work in home use. They are used in simple but often disliked jobs, such as vacuum cleaning, floor washing, and lawn mowing. An example of a domestic robot is a Roomba.
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Military robots include the SWORDS robot which is currently used in ground-based combat. It can use a variety of weapons and there is some discussion of giving it some degree of autonomy in battleground situations.[151][152][153]
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Unmanned combat air vehicles (UCAVs), which are an upgraded form of UAVs, can do a wide variety of missions, including combat. UCAVs are being designed such as the BAE Systems Mantis which would have the ability to fly themselves, to pick their own course and target, and to make most decisions on their own.[154] The BAE Taranis is a UCAV built by Great Britain which can fly across continents without a pilot and has new means to avoid detection.[155] Flight trials are expected to begin in 2011.[156]
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The AAAI has studied this topic in depth[106] and its president has commissioned a study to look at this issue.[157]
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Some have suggested a need to build "Friendly AI", meaning that the advances which are already occurring with AI should also include an effort to make AI intrinsically friendly and humane.[158] Several such measures reportedly already exist, with robot-heavy countries such as Japan and South Korea[159] having begun to pass regulations requiring robots to be equipped with safety systems, and possibly sets of 'laws' akin to Asimov's Three Laws of Robotics.[160][161] An official report was issued in 2009 by the Japanese government's Robot Industry Policy Committee.[162] Chinese officials and researchers have issued a report suggesting a set of ethical rules, and a set of new legal guidelines referred to as "Robot Legal Studies."[163] Some concern has been expressed over a possible occurrence of robots telling apparent falsehoods.[164]
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Mining robots are designed to solve a number of problems currently facing the mining industry, including skills shortages, improving productivity from declining ore grades, and achieving environmental targets. Due to the hazardous nature of mining, in particular underground mining, the prevalence of autonomous, semi-autonomous, and tele-operated robots has greatly increased in recent times. A number of vehicle manufacturers provide autonomous trains, trucks and loaders that will load material, transport it on the mine site to its destination, and unload without requiring human intervention. One of the world's largest mining corporations, Rio Tinto, has recently expanded its autonomous truck fleet to the world's largest, consisting of 150 autonomous Komatsu trucks, operating in Western Australia.[165] Similarly, BHP has announced the expansion of its autonomous drill fleet to the world's largest, 21 autonomous Atlas Copco drills.[166]
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Drilling, longwall and rockbreaking machines are now also available as autonomous robots.[167] The Atlas Copco Rig Control System can autonomously execute a drilling plan on a drilling rig, moving the rig into position using GPS, set up the drill rig and drill down to specified depths.[168] Similarly, the Transmin Rocklogic system can automatically plan a path to position a rockbreaker at a selected destination.[169] These systems greatly enhance the safety and efficiency of mining operations.
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Robots in healthcare have two main functions. Those which assist an individual, such as a sufferer of a disease like Multiple Sclerosis, and those which aid in the overall systems such as pharmacies and hospitals.
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Robots used in home automation have developed over time from simple basic robotic assistants, such as the Handy 1,[170] through to semi-autonomous robots, such as FRIEND which can assist the elderly and disabled with common tasks.
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The population is aging in many countries, especially Japan, meaning that there are increasing numbers of elderly people to care for, but relatively fewer young people to care for them.[171][172] Humans make the best carers, but where they are unavailable, robots are gradually being introduced.[173]
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FRIEND is a semi-autonomous robot designed to support disabled and elderly people in their daily life activities, like preparing and serving a meal. FRIEND make it possible for patients who are paraplegic, have muscle diseases or serious paralysis (due to strokes etc.), to perform tasks without help from other people like therapists or nursing staff.
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Script Pro manufactures a robot designed to help pharmacies fill prescriptions that consist of oral solids or medications in pill form.[174][better source needed] The pharmacist or pharmacy technician enters the prescription information into its information system. The system, upon determining whether or not the drug is in the robot, will send the information to the robot for filling. The robot has 3 different size vials to fill determined by the size of the pill. The robot technician, user, or pharmacist determines the needed size of the vial based on the tablet when the robot is stocked. Once the vial is filled it is brought up to a conveyor belt that delivers it to a holder that spins the vial and attaches the patient label. Afterwards it is set on another conveyor that delivers the patient's medication vial to a slot labeled with the patient's name on an LED read out. The pharmacist or technician then checks the contents of the vial to ensure it's the correct drug for the correct patient and then seals the vials and sends it out front to be picked up.
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McKesson's Robot RX is another healthcare robotics product that helps pharmacies dispense thousands of medications daily with little or no errors.[175] The robot can be ten feet wide and thirty feet long and can hold hundreds of different kinds of medications and thousands of doses. The pharmacy saves many resources like staff members that are otherwise unavailable in a resource scarce industry. It uses an electromechanical head coupled with a pneumatic system to capture each dose and deliver it to its either stocked or dispensed location. The head moves along a single axis while it rotates 180 degrees to pull the medications. During this process it uses barcode technology to verify its pulling the correct drug. It then delivers the drug to a patient specific bin on a conveyor belt. Once the bin is filled with all of the drugs that a particular patient needs and that the robot stocks, the bin is then released and returned out on the conveyor belt to a technician waiting to load it into a cart for delivery to the floor.
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While most robots today are installed in factories or homes, performing labour or life saving jobs, many new types of robot are being developed in laboratories around the world. Much of the research in robotics focuses not on specific industrial tasks, but on investigations into new types of robot, alternative ways to think about or design robots, and new ways to manufacture them. It is expected that these new types of robot will be able to solve real world problems when they are finally realized.[citation needed]
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One approach to designing robots is to base them on animals. BionicKangaroo was designed and engineered by studying and applying the physiology and methods of locomotion of a kangaroo.
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Nanorobotics is the emerging technology field of creating machines or robots whose components are at or close to the microscopic scale of a nanometer (10−9 meters). Also known as "nanobots" or "nanites", they would be constructed from molecular machines. So far, researchers have mostly produced only parts of these complex systems, such as bearings, sensors, and synthetic molecular motors, but functioning robots have also been made such as the entrants to the Nanobot Robocup contest.[176] Researchers also hope to be able to create entire robots as small as viruses or bacteria, which could perform tasks on a tiny scale. Possible applications include micro surgery (on the level of individual cells), utility fog,[177] manufacturing, weaponry and cleaning.[178] Some people have suggested that if there were nanobots which could reproduce, the earth would turn into "grey goo", while others argue that this hypothetical outcome is nonsense.[179][180]
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A few researchers have investigated the possibility of creating robots which can alter their physical form to suit a particular task,[181] like the fictional T-1000. Real robots are nowhere near that sophisticated however, and mostly consist of a small number of cube shaped units, which can move relative to their neighbours. Algorithms have been designed in case any such robots become a reality.[182]
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Robots with silicone bodies and flexible actuators (air muscles, electroactive polymers, and ferrofluids) look and feel different from robots with rigid skeletons, and can have different behaviors.[183] Soft, flexible (and sometimes even squishy) robots are often designed to mimic the biomechanics of animals and other things found in nature, which is leading to new applications in medicine, care giving, search and rescue, food handling and manufacturing, and scientific exploration.[184][185]
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Inspired by colonies of insects such as ants and bees, researchers are modeling the behavior of swarms of thousands of tiny robots which together perform a useful task, such as finding something hidden, cleaning, or spying. Each robot is quite simple, but the emergent behavior of the swarm is more complex. The whole set of robots can be considered as one single distributed system, in the same way an ant colony can be considered a superorganism, exhibiting swarm intelligence. The largest swarms so far created include the iRobot swarm, the SRI/MobileRobots CentiBots project[186] and the Open-source Micro-robotic Project swarm, which are being used to research collective behaviors.[187][188] Swarms are also more resistant to failure. Whereas one large robot may fail and ruin a mission, a swarm can continue even if several robots fail. This could make them attractive for space exploration missions, where failure is normally extremely costly.[189]
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Robotics also has application in the design of virtual reality interfaces. Specialized robots are in widespread use in the haptic research community. These robots, called "haptic interfaces", allow touch-enabled user interaction with real and virtual environments. Robotic forces allow simulating the mechanical properties of "virtual" objects, which users can experience through their sense of touch.[190]
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Robots are used by contemporary artists to create works that include mechanical automation. There are many branches of robotic art, one of which is robotic installation art, a type of installation art that is programmed to respond to viewer interactions, by means of computers, sensors and actuators. The future behavior of such installations can therefore be altered by input from either the artist or the participant, which differentiates these artworks from other types of kinetic art.
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Le Grand Palais in Paris organized an exhibition "Artists & Robots", featuring artworks created by more than forty artists with the help of robots in 2018.[191]
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Robotic characters, androids (artificial men/women) or gynoids (artificial women), and cyborgs (also "bionic men/women", or humans with significant mechanical enhancements) have become a staple of science fiction.
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The first reference in Western literature to mechanical servants appears in Homer's Iliad. In Book XVIII, Hephaestus, god of fire, creates new armor for the hero Achilles, assisted by robots.[192] According to the Rieu translation, "Golden maidservants hastened to help their master. They looked like real women and could not only speak and use their limbs but were endowed with intelligence and trained in handwork by the immortal gods." The words "robot" or "android" are not used to describe them, but they are nevertheless mechanical devices human in appearance. "The first use of the word Robot was in Karel Čapek's play R.U.R. (Rossum's Universal Robots) (written in 1920)". Writer Karel Čapek was born in Czechoslovakia (Czech Republic).
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Possibly the most prolific author of the twentieth century was Isaac Asimov (1920–1992)[193] who published over five-hundred books.[194] Asimov is probably best remembered for his science-fiction stories and especially those about robots, where he placed robots and their interaction with society at the center of many of his works.[195][196] Asimov carefully considered the problem of the ideal set of instructions robots might be given in order to lower the risk to humans, and arrived at his Three Laws of Robotics: a robot may not injure a human being or, through inaction, allow a human being to come to harm; a robot must obey orders given it by human beings, except where such orders would conflict with the First Law; and a robot must protect its own existence as long as such protection does not conflict with the First or Second Law.[197] These were introduced in his 1942 short story "Runaround", although foreshadowed in a few earlier stories. Later, Asimov added the Zeroth Law: "A robot may not harm humanity, or, by inaction, allow humanity to come to harm"; the rest of the laws are modified sequentially to acknowledge this.
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According to the Oxford English Dictionary, the first passage in Asimov's short story "Liar!" (1941) that mentions the First Law is the earliest recorded use of the word robotics. Asimov was not initially aware of this; he assumed the word already existed by analogy with mechanics, hydraulics, and other similar terms denoting branches of applied knowledge.[198]
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Robots appear in many films. Most of the robots in cinema are fictional. Two of the most famous are R2-D2 and C-3PO from the Star Wars franchise.
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The concept of humanoid sex robots has elicited both public attention and concern. Opponents of the concept have stated that the development of sex robots would be morally wrong.[199][200][201][202] They argue that the introduction of such devices would be socially harmful, and demeaning to women and children.[200]
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Fears and concerns about robots have been repeatedly expressed in a wide range of books and films. A common theme is the development of a master race of conscious and highly intelligent robots, motivated to take over or destroy the human race.
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Frankenstein (1818), often called the first science fiction novel, has become synonymous with the theme of a robot or android advancing beyond its creator.
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Other works with similar themes include The Mechanical Man, The Terminator, Runaway, RoboCop, the Replicators in Stargate, the Cylons in Battlestar Galactica, the Cybermen and Daleks in Doctor Who, The Matrix, Enthiran and I, Robot. Some fictional robots are programmed to kill and destroy; others gain superhuman intelligence and abilities by upgrading their own software and hardware. Examples of popular media where the robot becomes evil are 2001: A Space Odyssey, Red Planet and Enthiran.
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The 2017 game Horizon Zero Dawn explores themes of robotics in warfare, robot ethics, and the AI control problem, as well as the positive or negative impact such technologies could have on the environment.
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Another common theme is the reaction, sometimes called the "uncanny valley", of unease and even revulsion at the sight of robots that mimic humans too closely.[105]
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More recently, fictional representations of artificially intelligent robots in films such as A.I. Artificial Intelligence and Ex Machina and the 2016 TV adaptation of Westworld have engaged audience sympathy for the robots themselves.
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1 |
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A robot is a machine—especially one programmable by a computer— capable of carrying out a complex series of actions automatically.[2] Robots can be guided by an external control device or the control may be embedded within. Robots may be constructed on the lines of human form, but most robots are machines designed to perform a task with no regard to their aesthetics.
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Robots can be autonomous or semi-autonomous and range from humanoids such as Honda's Advanced Step in Innovative Mobility (ASIMO) and TOSY's TOSY Ping Pong Playing Robot (TOPIO) to industrial robots, medical operating robots, patient assist robots, dog therapy robots, collectively programmed swarm robots, UAV drones such as General Atomics MQ-1 Predator, and even microscopic nano robots. By mimicking a lifelike appearance or automating movements, a robot may convey a sense of intelligence or thought of its own. Autonomous things are expected to proliferate in the coming decade,[3] with home robotics and the autonomous car as some of the main drivers.[4]
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The branch of technology that deals with the design, construction, operation, and application of robots,[5] as well as computer systems for their control, sensory feedback, and information processing is robotics. These technologies deal with automated machines that can take the place of humans in dangerous environments or manufacturing processes, or resemble humans in appearance, behavior, or cognition. Many of today's robots are inspired by nature contributing to the field of bio-inspired robotics. These robots have also created a newer branch of robotics: soft robotics.
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From the time of ancient civilization there have been many accounts of user-configurable automated devices and even automata resembling animals and humans, designed primarily as entertainment. As mechanical techniques developed through the Industrial age, there appeared more practical applications such as automated machines, remote-control and wireless remote-control.
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The term comes from a Slavic root, robot-, with meanings associated with labor. The word 'robot' was first used to denote a fictional humanoid in a 1920 Czech-language play R.U.R. (Rossumovi Univerzální Roboti - Rossum's Universal Robots) by Karel Čapek, though it was Karel's brother Josef Čapek who was the word's true inventor.[6][7][8]
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Electronics evolved into the driving force of development with the advent of the first electronic autonomous robots created by William Grey Walter in Bristol, England in 1948, as well as Computer Numerical Control (CNC) machine tools in the late 1940s by John T. Parsons and Frank L. Stulen. The first commercial, digital and programmable robot was built by George Devol in 1954 and was named the Unimate. It was sold to General Motors in 1961 where it was used to lift pieces of hot metal from die casting machines at the Inland Fisher Guide Plant in the West Trenton section of Ewing Township, New Jersey.[9]
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Robots have replaced humans[10] in performing repetitive and dangerous tasks which humans prefer not to do, or are unable to do because of size limitations, or which take place in extreme environments such as outer space or the bottom of the sea. There are concerns about the increasing use of robots and their role in society. Robots are blamed for rising technological unemployment as they replace workers in increasing numbers of functions.[11] The use of robots in military combat raises ethical concerns. The possibilities of robot autonomy and potential repercussions have been addressed in fiction and may be a realistic concern in the future.
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The word robot can refer to both physical robots and virtual software agents, but the latter are usually referred to as bots.[12] There is no consensus on which machines qualify as robots but there is general agreement among experts, and the public, that robots tend to possess some or all of the following abilities and functions: accept electronic programming, process data or physical perceptions electronically, operate autonomously to some degree, move around, operate physical parts of itself or physical processes, sense and manipulate their environment, and exhibit intelligent behavior, especially behavior which mimics humans or other animals.[13][14] Closely related to the concept of a robot is the field of Synthetic Biology, which studies entities whose nature is more comparable to beings than to machines.
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The idea of automata originates in the mythologies of many cultures around the world. Engineers and inventors from ancient civilizations, including Ancient China,[15] Ancient Greece, and Ptolemaic Egypt,[16] attempted to build self-operating machines, some resembling animals and humans. Early descriptions of automata include the artificial doves of Archytas,[17] the artificial birds of Mozi and Lu Ban,[18] a "speaking" automaton by Hero of Alexandria, a washstand automaton by Philo of Byzantium, and a human automaton described in the Lie Zi.[15]
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Many ancient mythologies, and most modern religions include artificial people, such as the mechanical servants built by the Greek god Hephaestus[19] (Vulcan to the Romans), the clay golems of Jewish legend and clay giants of Norse legend, and Galatea, the mythical statue of Pygmalion that came to life. Since circa 400 BC, myths of Crete include Talos, a man of bronze who guarded the island from pirates.
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In ancient Greece, the Greek engineer Ctesibius (c. 270 BC) "applied a knowledge of pneumatics and hydraulics to produce the first organ and water clocks with moving figures."[20][21] In the 4th century BC, the Greek mathematician Archytas of Tarentum postulated a mechanical steam-operated bird he called "The Pigeon". Hero of Alexandria (10–70 AD), a Greek mathematician and inventor, created numerous user-configurable automated devices, and described machines powered by air pressure, steam and water.[22]
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The 11th century Lokapannatti tells of how the Buddha's relics were protected by mechanical robots (bhuta vahana yanta), from the kingdom of Roma visaya (Rome); until they were disarmed by King Ashoka. [23] [24]
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In ancient China, the 3rd-century text of the Lie Zi describes an account of humanoid automata, involving a much earlier encounter between Chinese emperor King Mu of Zhou and a mechanical engineer known as Yan Shi, an 'artificer'. Yan Shi proudly presented the king with a life-size, human-shaped figure of his mechanical 'handiwork' made of leather, wood, and artificial organs.[15] There are also accounts of flying automata in the Han Fei Zi and other texts, which attributes the 5th century BC Mohist philosopher Mozi and his contemporary Lu Ban with the invention of artificial wooden birds (ma yuan) that could successfully fly.[18]
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In 1066, the Chinese inventor Su Song built a water clock in the form of a tower which featured mechanical figurines which chimed the hours.[25][26][27] His mechanism had a programmable drum machine with pegs (cams) that bumped into little levers that operated percussion instruments. The drummer could be made to play different rhythms and different drum patterns by moving the pegs to different locations.[27]
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Samarangana Sutradhara, a Sanskrit treatise by Bhoja (11th century), includes a chapter about the construction of mechanical contrivances (automata), including mechanical bees and birds, fountains shaped like humans and animals, and male and female dolls that refilled oil lamps, danced, played instruments, and re-enacted scenes from Hindu mythology.[28][29][30]
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13th century Muslim Scientist Ismail al-Jazari created several automated devices. He built automated moving peacocks driven by hydropower.[31] He also invented the earliest known automatic gates, which were driven by hydropower,[32] created automatic doors as part of one of his elaborate water clocks.[33] One of al-Jazari's humanoid automata was a waitress that could serve water, tea or drinks. The drink was stored in a tank with a reservoir from where the drink drips into a bucket and, after seven minutes, into a cup, after which the waitress appears out of an automatic door serving the drink.[34] Al-Jazari invented a hand washing automaton incorporating a flush mechanism now used in modern flush toilets. It features a female humanoid automaton standing by a basin filled with water. When the user pulls the lever, the water drains and the female automaton refills the basin.[35]
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Mark E. Rosheim summarizes the advances in robotics made by Muslim engineers, especially al-Jazari, as follows:
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Unlike the Greek designs, these Arab examples reveal an interest, not only in dramatic illusion, but in manipulating the environment for human comfort. Thus, the greatest contribution the Arabs made, besides preserving, disseminating and building on the work of the Greeks, was the concept of practical application. This was the key element that was missing in Greek robotic science.[36]
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In Renaissance Italy, Leonardo da Vinci (1452–1519) sketched plans for a humanoid robot around 1495. Da Vinci's notebooks, rediscovered in the 1950s, contained detailed drawings of a mechanical knight now known as Leonardo's robot, able to sit up, wave its arms and move its head and jaw.[38] The design was probably based on anatomical research recorded in his Vitruvian Man. It is not known whether he attempted to build it. According to Encyclopædia Britannica, Leonardo da Vinci may have been influenced by the classic automata of al-Jazari.[31]
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In Japan, complex animal and human automata were built between the 17th to 19th centuries, with many described in the 18th century Karakuri zui (Illustrated Machinery, 1796). One such automaton was the karakuri ningyō, a mechanized puppet.[39] Different variations of the karakuri existed: the Butai karakuri, which were used in theatre, the Zashiki karakuri, which were small and used in homes, and the Dashi karakuri which were used in religious festivals, where the puppets were used to perform reenactments of traditional myths and legends.
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In France, between 1738 and 1739, Jacques de Vaucanson exhibited several life-sized automatons: a flute player, a pipe player and a duck. The mechanical duck could flap its wings, crane its neck, and swallow food from the exhibitor's hand, and it gave the illusion of digesting its food by excreting matter stored in a hidden compartment.[40]
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Remotely operated vehicles were demonstrated in the late 19th century in the form of several types of remotely controlled torpedoes. The early 1870s saw remotely controlled torpedoes by John Ericsson (pneumatic), John Louis Lay (electric wire guided), and Victor von Scheliha (electric wire guided).[41]
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The Brennan torpedo, invented by Louis Brennan in 1877, was powered by two contra-rotating propellors that were spun by rapidly pulling out wires from drums wound inside the torpedo. Differential speed on the wires connected to the shore station allowed the torpedo to be guided to its target, making it "the world's first practical guided missile".[42] In 1897 the British inventor Ernest Wilson was granted a patent for a torpedo remotely controlled by "Hertzian" (radio) waves[43][44] and in 1898 Nikola Tesla publicly demonstrated a wireless-controlled torpedo that he hoped to sell to the US Navy.[45][46]
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Archibald Low, known as the "father of radio guidance systems" for his pioneering work on guided rockets and planes during the First World War. In 1917, he demonstrated a remote controlled aircraft to the Royal Flying Corps and in the same year built the first wire-guided rocket.
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'Robot' was first applied as a term for artificial automata in the 1920 play R.U.R. by the Czech writer, Karel Čapek. However, Josef Čapek was named by his brother Karel as the true inventor of the term robot.[7][8] The word 'robot' itself was not new, having been in the Slavic language as robota (forced laborer), a term which classified those peasants obligated to compulsory service under the feudal system (see: Robot Patent).[47][48]
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Čapek's fictional story postulated the technological creation of artificial human bodies without souls, and the old theme of the feudal robota class eloquently fit the imagination of a new class of manufactured, artificial workers.
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English pronunciation of the word has evolved relatively quickly since its introduction. In the U.S. during the late '30s to early '40s the second sylable was pronounced with a long "O" like "row-boat."[49][better source needed] By the late '50s to early '60s, some were pronouncing it with a short "U" like "row-but" while others used a softer "O" like "row-bought."[50] By the '70s, its current pronunciation "row-bot" had become predominant.
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In 1928, one of the first humanoid robots, Eric, was exhibited at the annual exhibition of the Model Engineers Society in London, where it delivered a speech. Invented by W. H. Richards, the robot's frame consisted of an aluminium body of armour with eleven electromagnets and one motor powered by a twelve-volt power source. The robot could move its hands and head and could be controlled through remote control or voice control.[51] Both Eric and his "brother" George toured the world.[52]
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Westinghouse Electric Corporation built Televox in 1926; it was a cardboard cutout connected to various devices which users could turn on and off. In 1939, the humanoid robot known as Elektro was debuted at the 1939 New York World's Fair.[53][54] Seven feet tall (2.1 m) and weighing 265 pounds (120.2 kg), it could walk by voice command, speak about 700 words (using a 78-rpm record player), smoke cigarettes, blow up balloons, and move its head and arms. The body consisted of a steel gear, cam and motor skeleton covered by an aluminum skin. In 1928, Japan's first robot, Gakutensoku, was designed and constructed by biologist Makoto Nishimura.
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The first electronic autonomous robots with complex behaviour were created by William Grey Walter of the Burden Neurological Institute at Bristol, England in 1948 and 1949. He wanted to prove that rich connections between a small number of brain cells could give rise to very complex behaviors – essentially that the secret of how the brain worked lay in how it was wired up. His first robots, named Elmer and Elsie, were constructed between 1948 and 1949 and were often described as tortoises due to their shape and slow rate of movement. The three-wheeled tortoise robots were capable of phototaxis, by which they could find their way to a recharging station when they ran low on battery power.
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Walter stressed the importance of using purely analogue electronics to simulate brain processes at a time when his contemporaries such as Alan Turing and John von Neumann were all turning towards a view of mental processes in terms of digital computation. His work inspired subsequent generations of robotics researchers such as Rodney Brooks, Hans Moravec and Mark Tilden. Modern incarnations of Walter's turtles may be found in the form of BEAM robotics.[55]
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The first digitally operated and programmable robot was invented by George Devol in 1954 and was ultimately called the Unimate. This ultimately laid the foundations of the modern robotics industry.[56] Devol sold the first Unimate to General Motors in 1960, and it was installed in 1961 in a plant in Trenton, New Jersey to lift hot pieces of metal from a die casting machine and stack them.[57] Devol's patent for the first digitally operated programmable robotic arm represents the foundation of the modern robotics industry.[58]
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The first palletizing robot was introduced in 1963 by the Fuji Yusoki Kogyo Company.[59] In 1973, a robot with six electromechanically driven axes was patented[60][61][62] by KUKA robotics in Germany, and the programmable universal manipulation arm was invented by Victor Scheinman in 1976, and the design was sold to Unimation.
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Commercial and industrial robots are now in widespread use performing jobs more cheaply or with greater accuracy and reliability than humans. They are also employed for jobs which are too dirty, dangerous or dull to be suitable for humans. Robots are widely used in manufacturing, assembly and packing, transport, earth and space exploration, surgery, weaponry, laboratory research, and mass production of consumer and industrial goods.[63]
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Various techniques have emerged to develop the science of robotics and robots. One method is evolutionary robotics, in which a number of differing robots are submitted to tests. Those which perform best are used as a model to create a subsequent "generation" of robots. Another method is developmental robotics, which tracks changes and development within a single robot in the areas of problem-solving and other functions. Another new type of robot is just recently introduced which acts both as a smartphone and robot and is named RoboHon.[64]
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As robots become more advanced, eventually there may be a standard computer operating system designed mainly for robots. Robot Operating System is an open-source set of programs being developed at Stanford University, the Massachusetts Institute of Technology and the Technical University of Munich, Germany, among others. ROS provides ways to program a robot's navigation and limbs regardless of the specific hardware involved. It also provides high-level commands for items like image recognition and even opening doors. When ROS boots up on a robot's computer, it would obtain data on attributes such as the length and movement of robots' limbs. It would relay this data to higher-level algorithms. Microsoft is also developing a "Windows for robots" system with its Robotics Developer Studio, which has been available since 2007.[65]
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Japan hopes to have full-scale commercialization of service robots by 2025. Much technological research in Japan is led by Japanese government agencies, particularly the Trade Ministry.[66]
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Many future applications of robotics seem obvious to people, even though they are well beyond the capabilities of robots available at the time of the prediction.[67][68]
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As early as 1982 people were confident that someday robots would:[69]
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1. Clean parts by removing molding flash
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2. Spray paint automobiles with absolutely no human presence
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3. Pack things in boxes—for example, orient and nest chocolate candies in candy boxes
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4. Make electrical cable harness
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5. Load trucks with boxes—a packing problem
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6. Handle soft goods, such as garments and shoes
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7. Shear sheep
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8. prosthesis
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9. Cook fast food and work in other service industries
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10. Household robot.
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Generally such predictions are overly optimistic in timescale.
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In 2008, Caterpillar Inc. developed a dump truck which can drive itself without any human operator.[70] Many analysts believe that self-driving trucks may eventually revolutionize logistics.[71] By 2014, Caterpillar had a self-driving dump truck which is expected to greatly change the process of mining. In 2015, these Caterpillar trucks were actively used in mining operations in Australia by the mining company Rio Tinto Coal Australia.[72][73][74][75] Some analysts believe that within the next few decades, most trucks will be self-driving.[76]
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A literate or 'reading robot' named Marge has intelligence that comes from software. She can read newspapers, find and correct misspelled words, learn about banks like Barclays, and understand that some restaurants are better places to eat than others.[77]
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Baxter is a new robot introduced in 2012 which learns by guidance. A worker could teach Baxter how to perform a task by moving its hands in the desired motion and having Baxter memorize them. Extra dials, buttons, and controls are available on Baxter's arm for more precision and features. Any regular worker could program Baxter and it only takes a matter of minutes, unlike usual industrial robots that take extensive programs and coding in order to be used. This means Baxter needs no programming in order to operate. No software engineers are needed. This also means Baxter can be taught to perform multiple, more complicated tasks. Sawyer was added in 2015 for smaller, more precise tasks.[78]
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The word robot was introduced to the public by the Czech interwar writer Karel Čapek in his play R.U.R. (Rossum's Universal Robots), published in 1920.[79] The play begins in a factory that uses a chemical substitute for protoplasm to manufacture living, simplified people called robots. The play does not focus in detail on the technology behind the creation of these living creatures, but in their appearance they prefigure modern ideas of androids, creatures who can be mistaken for humans. These mass-produced workers are depicted as efficient but emotionless, incapable of original thinking and indifferent to self-preservation. At issue is whether the robots are being exploited and the consequences of human dependence upon commodified labor (especially after a number of specially-formulated robots achieve self-awareness and incite robots all around the world to rise up against the humans).
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Karel Čapek himself did not coin the word. He wrote a short letter in reference to an etymology in the Oxford English Dictionary in which he named his brother, the painter and writer Josef Čapek, as its actual originator.[79]
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In an article in the Czech journal Lidové noviny in 1933, he explained that he had originally wanted to call the creatures laboři ("workers", from Latin labor). However, he did not like the word, and sought advice from his brother Josef, who suggested "roboti". The word robota means literally "corvée", "serf labor", and figuratively "drudgery" or "hard work" in Czech and also (more general) "work", "labor" in many Slavic languages (e.g.: Bulgarian, Russian, Serbian, Slovak, Polish, Macedonian, Ukrainian, archaic Czech, as well as robot in Hungarian). Traditionally the robota (Hungarian robot) was the work period a serf (corvée) had to give for his lord, typically 6 months of the year. The origin of the word is the Old Church Slavonic (Old Bulgarian) rabota "servitude" ("work" in contemporary Bulgarian and Russian), which in turn comes from the Proto-Indo-European root *orbh-. Robot is cognate with the German root Arbeit (work).[80][81]
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The word robotics, used to describe this field of study,[5] was coined by the science fiction writer Isaac Asimov. Asimov created the "Three Laws of Robotics" which are a recurring theme in his books. These have since been used by many others to define laws used in fiction. (The three laws are pure fiction, and no technology yet created has the ability to understand or follow them, and in fact most robots serve military purposes, which run quite contrary to the first law and often the third law. "People think about Asimov's laws, but they were set up to point out how a simple ethical system doesn't work. If you read the short stories, every single one is about a failure, and they are totally impractical," said Dr. Joanna Bryson of the University of Bath.[82])
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Mobile robots[83] have the capability to move around in their environment and are not fixed to one physical location. An example of a mobile robot that is in common use today is the automated guided vehicle or automatic guided vehicle (AGV). An AGV is a mobile robot that follows markers or wires in the floor, or uses vision or lasers.[84] AGVs are discussed later in this article.
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Mobile robots are also found in industry, military and security environments.[85] They also appear as consumer products, for entertainment or to perform certain tasks like vacuum cleaning. Mobile robots are the focus of a great deal of current research and almost every major university has one or more labs that focus on mobile robot research.[citation needed]
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Mobile robots are usually used in tightly controlled environments such as on assembly lines because they have difficulty responding to unexpected interference. Because of this most humans rarely encounter robots. However domestic robots for cleaning and maintenance are increasingly common in and around homes in developed countries. Robots can also be found in military applications.[citation needed]
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Industrial robots usually consist of a jointed arm (multi-linked manipulator) and an end effector that is attached to a fixed surface. One of the most common type of end effector is a gripper assembly.
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The International Organization for Standardization gives a definition of a manipulating industrial robot in ISO 8373:
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"an automatically controlled, reprogrammable, multipurpose, manipulator programmable in three or more axes, which may be either fixed in place or mobile for use in industrial automation applications."[86]
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This definition is used by the International Federation of Robotics, the European Robotics Research Network (EURON) and many national standards committees.[87]
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Most commonly industrial robots are fixed robotic arms and manipulators used primarily for production and distribution of goods. The term "service robot" is less well-defined. The International Federation of Robotics has proposed a tentative definition, "A service robot is a robot which operates semi- or fully autonomously to perform services useful to the well-being of humans and equipment, excluding manufacturing operations."[88]
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Robots are used as educational assistants to teachers. From the 1980s, robots such as turtles were used in schools and programmed using the Logo language.[89][90]
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There are robot kits like Lego Mindstorms, BIOLOID, OLLO from ROBOTIS, or BotBrain Educational Robots can help children to learn about mathematics, physics, programming, and electronics. Robotics have also been introduced into the lives of elementary and high school students in the form of robot competitions with the company FIRST (For Inspiration and Recognition of Science and Technology). The organization is the foundation for the FIRST Robotics Competition, FIRST LEGO League, Junior FIRST LEGO League, and FIRST Tech Challenge competitions.
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There have also been robots such as the teaching computer, Leachim (1974).[91] Leachim was an early example of speech synthesis using the using the Diphone synthesis method. 2-XL (1976) was a robot shaped game / teaching toy based on branching between audible tracks on an 8-track tape player, both invented by Michael J. Freeman.[92] Later, the 8-track was upgraded to tape cassettes and then to digital.
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Modular robots are a new breed of robots that are designed to increase the utilization of robots by modularizing their architecture.[93] The functionality and effectiveness of a modular robot is easier to increase compared to conventional robots. These robots are composed of a single type of identical, several different identical module types, or similarly shaped modules, which vary in size. Their architectural structure allows hyper-redundancy for modular robots, as they can be designed with more than 8 degrees of freedom (DOF). Creating the programming, inverse kinematics and dynamics for modular robots is more complex than with traditional robots. Modular robots may be composed of L-shaped modules, cubic modules, and U and H-shaped modules. ANAT technology, an early modular robotic technology patented by Robotics Design Inc., allows the creation of modular robots from U and H shaped modules that connect in a chain, and are used to form heterogeneous and homogenous modular robot systems. These "ANAT robots" can be designed with "n" DOF as each module is a complete motorized robotic system that folds relatively to the modules connected before and after it in its chain, and therefore a single module allows one degree of freedom. The more modules that are connected to one another, the more degrees of freedom it will have. L-shaped modules can also be designed in a chain, and must become increasingly smaller as the size of the chain increases, as payloads attached to the end of the chain place a greater strain on modules that are further from the base. ANAT H-shaped modules do not suffer from this problem, as their design allows a modular robot to distribute pressure and impacts evenly amongst other attached modules, and therefore payload-carrying capacity does not decrease as the length of the arm increases. Modular robots can be manually or self-reconfigured to form a different robot, that may perform different applications. Because modular robots of the same architecture type are composed of modules that compose different modular robots, a snake-arm robot can combine with another to form a dual or quadra-arm robot, or can split into several mobile robots, and mobile robots can split into multiple smaller ones, or combine with others into a larger or different one. This allows a single modular robot the ability to be fully specialized in a single task, as well as the capacity to be specialized to perform multiple different tasks.
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Modular robotic technology is currently being applied in hybrid transportation,[94] industrial automation,[95] duct cleaning[96] and handling. Many research centres and universities have also studied this technology, and have developed prototypes.
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A collaborative robot or cobot is a robot that can safely and effectively interact with human workers while performing simple industrial tasks. However, end-effectors and other environmental conditions may create hazards, and as such risk assessments should be done before using any industrial motion-control application.[97]
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The collaborative robots most widely used in industries today are manufactured by Universal Robots in Denmark.[98]
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Rethink Robotics—founded by Rodney Brooks, previously with iRobot—introduced Baxter in September 2012; as an industrial robot designed to safely interact with neighboring human workers, and be programmable for performing simple tasks.[99] Baxters stop if they detect a human in the way of their robotic arms and have prominent off switches. Intended for sale to small businesses, they are promoted as the robotic analogue of the personal computer.[100] As of May 2014[update], 190 companies in the US have bought Baxters and they are being used commercially in the UK.[11]
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Roughly half of all the robots in the world are in Asia, 32% in Europe, and 16% in North America, 1% in Australasia and 1% in Africa.[103] 40% of all the robots in the world are in Japan,[104] making Japan the country with the highest number of robots.
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As robots have become more advanced and sophisticated, experts and academics have increasingly explored the questions of what ethics might govern robots' behavior,[106] and whether robots might be able to claim any kind of social, cultural, ethical or legal rights.[107] One scientific team has said that it is possible that a robot brain will exist by 2019.[108] Others predict robot intelligence breakthroughs by 2050.[109] Recent advances have made robotic behavior more sophisticated.[110] The social impact of intelligent robots is subject of a 2010 documentary film called Plug & Pray.[111]
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Vernor Vinge has suggested that a moment may come when computers and robots are smarter than humans. He calls this "the Singularity".[112] He suggests that it may be somewhat or possibly very dangerous for humans.[113] This is discussed by a philosophy called Singularitarianism.
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In 2009, experts attended a conference hosted by the Association for the Advancement of Artificial Intelligence (AAAI) to discuss whether computers and robots might be able to acquire any autonomy, and how much these abilities might pose a threat or hazard. They noted that some robots have acquired various forms of semi-autonomy, including being able to find power sources on their own and being able to independently choose targets to attack with weapons. They also noted that some computer viruses can evade elimination and have achieved "cockroach intelligence." They noted that self-awareness as depicted in science-fiction is probably unlikely, but that there were other potential hazards and pitfalls.[112] Various media sources and scientific groups have noted separate trends in differing areas which might together result in greater robotic functionalities and autonomy, and which pose some inherent concerns.[114][115][116] In 2015, the Nao alderen robots were shown to have a capability for a degree of self-awareness. Researchers at the Rensselaer Polytechnic Institute AI and Reasoning Lab in New York conducted an experiment where a robot became aware of itself, and corrected its answer to a question once it had realised this.[117]
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Some experts and academics have questioned the use of robots for military combat, especially when such robots are given some degree of autonomous functions.[118] There are also concerns about technology which might allow some armed robots to be controlled mainly by other robots.[119] The US Navy has funded a report which indicates that, as military robots become more complex, there should be greater attention to implications of their ability to make autonomous decisions.[120][121] One researcher states that autonomous robots might be more humane, as they could make decisions more effectively. However, other experts question this.[122]
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One robot in particular, the EATR, has generated public concerns[123] over its fuel source, as it can continually refuel itself using organic substances.[124] Although the engine for the EATR is designed to run on biomass and vegetation[125] specifically selected by its sensors, which it can find on battlefields or other local environments, the project has stated that chicken fat can also be used.[126]
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Manuel De Landa has noted that "smart missiles" and autonomous bombs equipped with artificial perception can be considered robots, as they make some of their decisions autonomously. He believes this represents an important and dangerous trend in which humans are handing over important decisions to machines.[127]
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For centuries, people have predicted that machines would make workers obsolete and increase unemployment, although the causes of unemployment are usually thought to be due to social policy.[128]
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A recent example of human replacement involves Taiwanese technology company Foxconn who, in July 2011, announced a three-year plan to replace workers with more robots. At present the company uses ten thousand robots but will increase them to a million robots over a three-year period.[129]
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Lawyers have speculated that an increased prevalence of robots in the workplace could lead to the need to improve redundancy laws.[130]
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Kevin J. Delaney said "Robots are taking human jobs. But Bill Gates believes that governments should tax companies’ use of them, as a way to at least temporarily slow the spread of automation and to fund other types of employment."[131] The robot tax would also help pay a guaranteed living wage to the displaced workers.
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The World Bank's World Development Report 2019 puts forth evidence showing that while automation displaces workers, technological innovation creates more new industries and jobs on balance.[132]
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At present, there are two main types of robots, based on their use: general-purpose autonomous robots and dedicated robots.
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Robots can be classified by their specificity of purpose. A robot might be designed to perform one particular task extremely well, or a range of tasks less well. All robots by their nature can be re-programmed to behave differently, but some are limited by their physical form. For example, a factory robot arm can perform jobs such as cutting, welding, gluing, or acting as a fairground ride, while a pick-and-place robot can only populate printed circuit boards.
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General-purpose autonomous robots can perform a variety of functions independently. General-purpose autonomous robots typically can navigate independently in known spaces, handle their own re-charging needs, interface with electronic doors and elevators and perform other basic tasks. Like computers, general-purpose robots can link with networks, software and accessories that increase their usefulness. They may recognize people or objects, talk, provide companionship, monitor environmental quality, respond to alarms, pick up supplies and perform other useful tasks. General-purpose robots may perform a variety of functions simultaneously or they may take on different roles at different times of day. Some such robots try to mimic human beings and may even resemble people in appearance; this type of robot is called a humanoid robot. Humanoid robots are still in a very limited stage, as no humanoid robot can, as of yet, actually navigate around a room that it has never been in.[citation needed] Thus, humanoid robots are really quite limited, despite their intelligent behaviors in their well-known environments.
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Over the last three decades, automobile factories have become dominated by robots. A typical factory contains hundreds of industrial robots working on fully automated production lines, with one robot for every ten human workers. On an automated production line, a vehicle chassis on a conveyor is welded, glued, painted and finally assembled at a sequence of robot stations.
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Industrial robots are also used extensively for palletizing and packaging of manufactured goods, for example for rapidly taking drink cartons from the end of a conveyor belt and placing them into boxes, or for loading and unloading machining centers.
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Mass-produced printed circuit boards (PCBs) are almost exclusively manufactured by pick-and-place robots, typically with SCARA manipulators, which remove tiny electronic components from strips or trays, and place them on to PCBs with great accuracy.[133] Such robots can place hundreds of thousands of components per hour, far out-performing a human in speed, accuracy, and reliability.[134]
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Mobile robots, following markers or wires in the floor, or using vision[84] or lasers, are used to transport goods around large facilities, such as warehouses, container ports, or hospitals.[135]
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Limited to tasks that could be accurately defined and had to be performed the same way every time. Very little feedback or intelligence was required, and the robots needed only the most basic exteroceptors (sensors). The limitations of these AGVs are that their paths are not easily altered and they cannot alter their paths if obstacles block them. If one AGV breaks down, it may stop the entire operation.
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Developed to deploy triangulation from beacons or bar code grids for scanning on the floor or ceiling. In most factories, triangulation systems tend to require moderate to high maintenance, such as daily cleaning of all beacons or bar codes. Also, if a tall pallet or large vehicle blocks beacons or a bar code is marred, AGVs may become lost. Often such AGVs are designed to be used in human-free environments.
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Such as SmartLoader,[136] SpeciMinder,[137] ADAM,[138] Tug[139] Eskorta,[140] and MT 400 with Motivity[141] are designed for people-friendly workspaces. They navigate by recognizing natural features. 3D scanners or other means of sensing the environment in two or three dimensions help to eliminate cumulative errors in dead-reckoning calculations of the AGV's current position. Some AGVs can create maps of their environment using scanning lasers with simultaneous localization and mapping (SLAM) and use those maps to navigate in real time with other path planning and obstacle avoidance algorithms. They are able to operate in complex environments and perform non-repetitive and non-sequential tasks such as transporting photomasks in a semiconductor lab, specimens in hospitals and goods in warehouses. For dynamic areas, such as warehouses full of pallets, AGVs require additional strategies using three-dimensional sensors such as time-of-flight or stereovision cameras.
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There are many jobs which humans would rather leave to robots. The job may be boring, such as domestic cleaning or sports field line marking, or dangerous, such as exploring inside a volcano.[142] Other jobs are physically inaccessible, such as exploring another planet,[143] cleaning the inside of a long pipe, or performing laparoscopic surgery.[144]
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Almost every unmanned space probe ever launched was a robot.[145][146] Some were launched in the 1960s with very limited abilities, but their ability to fly and land (in the case of Luna 9) is an indication of their status as a robot. This includes the Voyager probes and the Galileo probes, among others.
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Teleoperated robots, or telerobots, are devices remotely operated from a distance by a human operator rather than following a predetermined sequence of movements, but which has semi-autonomous behaviour. They are used when a human cannot be present on site to perform a job because it is dangerous, far away, or inaccessible. The robot may be in another room or another country, or may be on a very different scale to the operator. For instance, a laparoscopic surgery robot allows the surgeon to work inside a human patient on a relatively small scale compared to open surgery, significantly shortening recovery time.[144] They can also be used to avoid exposing workers to the hazardous and tight spaces such as in duct cleaning. When disabling a bomb, the operator sends a small robot to disable it. Several authors have been using a device called the Longpen to sign books remotely.[147] Teleoperated robot aircraft, like the Predator Unmanned Aerial Vehicle, are increasingly being used by the military. These pilotless drones can search terrain and fire on targets.[148][149] Hundreds of robots such as iRobot's Packbot and the Foster-Miller TALON are being used in Iraq and Afghanistan by the U.S. military to defuse roadside bombs or improvised explosive devices (IEDs) in an activity known as explosive ordnance disposal (EOD).[150]
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Robots are used to automate picking fruit on orchards at a cost lower than that of human pickers.
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Domestic robots are simple robots dedicated to a single task work in home use. They are used in simple but often disliked jobs, such as vacuum cleaning, floor washing, and lawn mowing. An example of a domestic robot is a Roomba.
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Military robots include the SWORDS robot which is currently used in ground-based combat. It can use a variety of weapons and there is some discussion of giving it some degree of autonomy in battleground situations.[151][152][153]
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Unmanned combat air vehicles (UCAVs), which are an upgraded form of UAVs, can do a wide variety of missions, including combat. UCAVs are being designed such as the BAE Systems Mantis which would have the ability to fly themselves, to pick their own course and target, and to make most decisions on their own.[154] The BAE Taranis is a UCAV built by Great Britain which can fly across continents without a pilot and has new means to avoid detection.[155] Flight trials are expected to begin in 2011.[156]
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The AAAI has studied this topic in depth[106] and its president has commissioned a study to look at this issue.[157]
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Some have suggested a need to build "Friendly AI", meaning that the advances which are already occurring with AI should also include an effort to make AI intrinsically friendly and humane.[158] Several such measures reportedly already exist, with robot-heavy countries such as Japan and South Korea[159] having begun to pass regulations requiring robots to be equipped with safety systems, and possibly sets of 'laws' akin to Asimov's Three Laws of Robotics.[160][161] An official report was issued in 2009 by the Japanese government's Robot Industry Policy Committee.[162] Chinese officials and researchers have issued a report suggesting a set of ethical rules, and a set of new legal guidelines referred to as "Robot Legal Studies."[163] Some concern has been expressed over a possible occurrence of robots telling apparent falsehoods.[164]
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Mining robots are designed to solve a number of problems currently facing the mining industry, including skills shortages, improving productivity from declining ore grades, and achieving environmental targets. Due to the hazardous nature of mining, in particular underground mining, the prevalence of autonomous, semi-autonomous, and tele-operated robots has greatly increased in recent times. A number of vehicle manufacturers provide autonomous trains, trucks and loaders that will load material, transport it on the mine site to its destination, and unload without requiring human intervention. One of the world's largest mining corporations, Rio Tinto, has recently expanded its autonomous truck fleet to the world's largest, consisting of 150 autonomous Komatsu trucks, operating in Western Australia.[165] Similarly, BHP has announced the expansion of its autonomous drill fleet to the world's largest, 21 autonomous Atlas Copco drills.[166]
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Drilling, longwall and rockbreaking machines are now also available as autonomous robots.[167] The Atlas Copco Rig Control System can autonomously execute a drilling plan on a drilling rig, moving the rig into position using GPS, set up the drill rig and drill down to specified depths.[168] Similarly, the Transmin Rocklogic system can automatically plan a path to position a rockbreaker at a selected destination.[169] These systems greatly enhance the safety and efficiency of mining operations.
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Robots in healthcare have two main functions. Those which assist an individual, such as a sufferer of a disease like Multiple Sclerosis, and those which aid in the overall systems such as pharmacies and hospitals.
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Robots used in home automation have developed over time from simple basic robotic assistants, such as the Handy 1,[170] through to semi-autonomous robots, such as FRIEND which can assist the elderly and disabled with common tasks.
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The population is aging in many countries, especially Japan, meaning that there are increasing numbers of elderly people to care for, but relatively fewer young people to care for them.[171][172] Humans make the best carers, but where they are unavailable, robots are gradually being introduced.[173]
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FRIEND is a semi-autonomous robot designed to support disabled and elderly people in their daily life activities, like preparing and serving a meal. FRIEND make it possible for patients who are paraplegic, have muscle diseases or serious paralysis (due to strokes etc.), to perform tasks without help from other people like therapists or nursing staff.
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Script Pro manufactures a robot designed to help pharmacies fill prescriptions that consist of oral solids or medications in pill form.[174][better source needed] The pharmacist or pharmacy technician enters the prescription information into its information system. The system, upon determining whether or not the drug is in the robot, will send the information to the robot for filling. The robot has 3 different size vials to fill determined by the size of the pill. The robot technician, user, or pharmacist determines the needed size of the vial based on the tablet when the robot is stocked. Once the vial is filled it is brought up to a conveyor belt that delivers it to a holder that spins the vial and attaches the patient label. Afterwards it is set on another conveyor that delivers the patient's medication vial to a slot labeled with the patient's name on an LED read out. The pharmacist or technician then checks the contents of the vial to ensure it's the correct drug for the correct patient and then seals the vials and sends it out front to be picked up.
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McKesson's Robot RX is another healthcare robotics product that helps pharmacies dispense thousands of medications daily with little or no errors.[175] The robot can be ten feet wide and thirty feet long and can hold hundreds of different kinds of medications and thousands of doses. The pharmacy saves many resources like staff members that are otherwise unavailable in a resource scarce industry. It uses an electromechanical head coupled with a pneumatic system to capture each dose and deliver it to its either stocked or dispensed location. The head moves along a single axis while it rotates 180 degrees to pull the medications. During this process it uses barcode technology to verify its pulling the correct drug. It then delivers the drug to a patient specific bin on a conveyor belt. Once the bin is filled with all of the drugs that a particular patient needs and that the robot stocks, the bin is then released and returned out on the conveyor belt to a technician waiting to load it into a cart for delivery to the floor.
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While most robots today are installed in factories or homes, performing labour or life saving jobs, many new types of robot are being developed in laboratories around the world. Much of the research in robotics focuses not on specific industrial tasks, but on investigations into new types of robot, alternative ways to think about or design robots, and new ways to manufacture them. It is expected that these new types of robot will be able to solve real world problems when they are finally realized.[citation needed]
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One approach to designing robots is to base them on animals. BionicKangaroo was designed and engineered by studying and applying the physiology and methods of locomotion of a kangaroo.
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Nanorobotics is the emerging technology field of creating machines or robots whose components are at or close to the microscopic scale of a nanometer (10−9 meters). Also known as "nanobots" or "nanites", they would be constructed from molecular machines. So far, researchers have mostly produced only parts of these complex systems, such as bearings, sensors, and synthetic molecular motors, but functioning robots have also been made such as the entrants to the Nanobot Robocup contest.[176] Researchers also hope to be able to create entire robots as small as viruses or bacteria, which could perform tasks on a tiny scale. Possible applications include micro surgery (on the level of individual cells), utility fog,[177] manufacturing, weaponry and cleaning.[178] Some people have suggested that if there were nanobots which could reproduce, the earth would turn into "grey goo", while others argue that this hypothetical outcome is nonsense.[179][180]
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A few researchers have investigated the possibility of creating robots which can alter their physical form to suit a particular task,[181] like the fictional T-1000. Real robots are nowhere near that sophisticated however, and mostly consist of a small number of cube shaped units, which can move relative to their neighbours. Algorithms have been designed in case any such robots become a reality.[182]
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Robots with silicone bodies and flexible actuators (air muscles, electroactive polymers, and ferrofluids) look and feel different from robots with rigid skeletons, and can have different behaviors.[183] Soft, flexible (and sometimes even squishy) robots are often designed to mimic the biomechanics of animals and other things found in nature, which is leading to new applications in medicine, care giving, search and rescue, food handling and manufacturing, and scientific exploration.[184][185]
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Inspired by colonies of insects such as ants and bees, researchers are modeling the behavior of swarms of thousands of tiny robots which together perform a useful task, such as finding something hidden, cleaning, or spying. Each robot is quite simple, but the emergent behavior of the swarm is more complex. The whole set of robots can be considered as one single distributed system, in the same way an ant colony can be considered a superorganism, exhibiting swarm intelligence. The largest swarms so far created include the iRobot swarm, the SRI/MobileRobots CentiBots project[186] and the Open-source Micro-robotic Project swarm, which are being used to research collective behaviors.[187][188] Swarms are also more resistant to failure. Whereas one large robot may fail and ruin a mission, a swarm can continue even if several robots fail. This could make them attractive for space exploration missions, where failure is normally extremely costly.[189]
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Robotics also has application in the design of virtual reality interfaces. Specialized robots are in widespread use in the haptic research community. These robots, called "haptic interfaces", allow touch-enabled user interaction with real and virtual environments. Robotic forces allow simulating the mechanical properties of "virtual" objects, which users can experience through their sense of touch.[190]
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Robots are used by contemporary artists to create works that include mechanical automation. There are many branches of robotic art, one of which is robotic installation art, a type of installation art that is programmed to respond to viewer interactions, by means of computers, sensors and actuators. The future behavior of such installations can therefore be altered by input from either the artist or the participant, which differentiates these artworks from other types of kinetic art.
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Le Grand Palais in Paris organized an exhibition "Artists & Robots", featuring artworks created by more than forty artists with the help of robots in 2018.[191]
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Robotic characters, androids (artificial men/women) or gynoids (artificial women), and cyborgs (also "bionic men/women", or humans with significant mechanical enhancements) have become a staple of science fiction.
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The first reference in Western literature to mechanical servants appears in Homer's Iliad. In Book XVIII, Hephaestus, god of fire, creates new armor for the hero Achilles, assisted by robots.[192] According to the Rieu translation, "Golden maidservants hastened to help their master. They looked like real women and could not only speak and use their limbs but were endowed with intelligence and trained in handwork by the immortal gods." The words "robot" or "android" are not used to describe them, but they are nevertheless mechanical devices human in appearance. "The first use of the word Robot was in Karel Čapek's play R.U.R. (Rossum's Universal Robots) (written in 1920)". Writer Karel Čapek was born in Czechoslovakia (Czech Republic).
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Possibly the most prolific author of the twentieth century was Isaac Asimov (1920–1992)[193] who published over five-hundred books.[194] Asimov is probably best remembered for his science-fiction stories and especially those about robots, where he placed robots and their interaction with society at the center of many of his works.[195][196] Asimov carefully considered the problem of the ideal set of instructions robots might be given in order to lower the risk to humans, and arrived at his Three Laws of Robotics: a robot may not injure a human being or, through inaction, allow a human being to come to harm; a robot must obey orders given it by human beings, except where such orders would conflict with the First Law; and a robot must protect its own existence as long as such protection does not conflict with the First or Second Law.[197] These were introduced in his 1942 short story "Runaround", although foreshadowed in a few earlier stories. Later, Asimov added the Zeroth Law: "A robot may not harm humanity, or, by inaction, allow humanity to come to harm"; the rest of the laws are modified sequentially to acknowledge this.
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According to the Oxford English Dictionary, the first passage in Asimov's short story "Liar!" (1941) that mentions the First Law is the earliest recorded use of the word robotics. Asimov was not initially aware of this; he assumed the word already existed by analogy with mechanics, hydraulics, and other similar terms denoting branches of applied knowledge.[198]
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Robots appear in many films. Most of the robots in cinema are fictional. Two of the most famous are R2-D2 and C-3PO from the Star Wars franchise.
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The concept of humanoid sex robots has elicited both public attention and concern. Opponents of the concept have stated that the development of sex robots would be morally wrong.[199][200][201][202] They argue that the introduction of such devices would be socially harmful, and demeaning to women and children.[200]
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Fears and concerns about robots have been repeatedly expressed in a wide range of books and films. A common theme is the development of a master race of conscious and highly intelligent robots, motivated to take over or destroy the human race.
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Frankenstein (1818), often called the first science fiction novel, has become synonymous with the theme of a robot or android advancing beyond its creator.
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Other works with similar themes include The Mechanical Man, The Terminator, Runaway, RoboCop, the Replicators in Stargate, the Cylons in Battlestar Galactica, the Cybermen and Daleks in Doctor Who, The Matrix, Enthiran and I, Robot. Some fictional robots are programmed to kill and destroy; others gain superhuman intelligence and abilities by upgrading their own software and hardware. Examples of popular media where the robot becomes evil are 2001: A Space Odyssey, Red Planet and Enthiran.
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The 2017 game Horizon Zero Dawn explores themes of robotics in warfare, robot ethics, and the AI control problem, as well as the positive or negative impact such technologies could have on the environment.
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Another common theme is the reaction, sometimes called the "uncanny valley", of unease and even revulsion at the sight of robots that mimic humans too closely.[105]
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More recently, fictional representations of artificially intelligent robots in films such as A.I. Artificial Intelligence and Ex Machina and the 2016 TV adaptation of Westworld have engaged audience sympathy for the robots themselves.
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en/5127.html.txt
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A rock is any naturally occurring solid mass or aggregate of minerals or mineraloid matter. It is categorized by the minerals included, its chemical composition and the way in which it is formed. Rocks are usually grouped into three main groups: igneous rocks, metamorphic rocks and sedimentary rocks. Rocks form the Earth's outer solid layer, the crust.
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Igneous rocks are formed when magma cools in the Earth's crust, or lava cools on the ground surface or the seabed. The metamorphic rocks are formed when existing rocks are subjected to such large pressures and temperatures that they are transformed—something that occurs, for example, when continental plates collide. The sedimentary rocks are formed by diagenesis or lithification of sediments, which in turn are formed by the weathering, transport, and deposition of existing rocks.[1]
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|
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+
The scientific study of rocks is called petrology, which is an essential component of geology.[2]
|
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+
|
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+
Rocks are composed of grains of minerals, which are homogeneous solids formed from a chemical compound arranged in an orderly manner.[3][page needed] The aggregate minerals forming the rock are held together by chemical bonds. The types and abundance of minerals in a rock are determined by the manner in which it was formed.
|
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|
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+
Most rocks contain silicate minerals, compounds that include silicon oxide tetrahedra in their crystal lattice, and account for about one-third of all known mineral species and about 95% of the earth's crust.[4] The proportion of silica in rocks and minerals is a major factor in determining their names and properties.[5]
|
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|
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+
Rocks are classified according to characteristics such as mineral and chemical composition, permeability, texture of the constituent particles, and particle size. These physical properties are the result of the processes that formed the rocks.[6] Over the course of time, rocks can transform from one type into another, as described by a geological model called the rock cycle. This transformation produces three general classes of rock: igneous, sedimentary and metamorphic.
|
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|
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+
Those three classes are subdivided into many groups. There are, however, no hard-and-fast boundaries between allied rocks. By increase or decrease in the proportions of their minerals, they pass through gradations from one to the other; the distinctive structures of one kind of rock may thus be traced gradually merging into those of another. Hence the definitions adopted in rock names simply correspond to selected points in a continuously graduated series.[7]
|
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+
|
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+
Igneous rock (derived from the Latin word igneus, meaning of fire, from ignis meaning fire) is formed through the cooling and solidification of magma or lava. This magma may be derived from partial melts of pre-existing rocks in either a planet's mantle or crust. Typically, the melting of rocks is caused by one or more of three processes: an increase in temperature, a decrease in pressure, or a change in composition.
|
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|
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Igneous rocks are divided into two main categories:
|
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|
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+
The chemical abundance and the rate of cooling of magma typically forms a sequence known as Bowen's reaction series. Most major igneous rocks are found along this scale.[5]
|
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+
|
23 |
+
About 65% of the Earth's crust by volume consists of igneous rocks, making it the most plentiful category. Of these, 66% are basalt and gabbro, 16% are granite, and 17% granodiorite and diorite. Only 0.6% are syenite and 0.3% are ultramafic. The oceanic crust is 99% basalt, which is an igneous rock of mafic composition. Granite and similar rocks, known as granitoids, dominate the continental crust.[8][9]
|
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|
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+
Sedimentary rocks are formed at the earth's surface by the accumulation and cementation of fragments of earlier rocks, minerals, and organisms[10] or as chemical precipitates and organic growths in water (sedimentation). This process causes clastic sediments (pieces of rock) or organic particles (detritus) to settle and accumulate, or for minerals to chemically precipitate (evaporite) from a solution. The particulate matter then undergoes compaction and cementation at moderate temperatures and pressures (diagenesis).
|
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+
|
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+
Before being deposited, sediments are formed by weathering of earlier rocks by erosion in a source area and then transported to the place of deposition by water, wind, ice, mass movement or glaciers (agents of denudation).[6] About 7.9% of the crust by volume is composed of sedimentary rocks, with 82% of those being shales, while the remainder consists of limestone (6%), sandstone and arkoses (12%).[9] Sedimentary rocks often contain fossils. Sedimentary rocks form under the influence of gravity and typically are deposited in horizontal or near horizontal layers or strata, and may be referred to as stratified rocks.[11]
|
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|
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+
Metamorphic rocks are formed by subjecting any rock type—sedimentary rock, igneous rock or another older metamorphic rock—to different temperature and pressure conditions than those in which the original rock was formed. This process is called metamorphism, meaning to "change in form". The result is a profound change in physical properties and chemistry of the stone. The original rock, known as the protolith, transforms into other mineral types or other forms of the same minerals, by recrystallization.[6] The temperatures and pressures required for this process are always higher than those found at the Earth's surface: temperatures greater than 150 to 200 °C and pressures of 1500 bars.[12] Metamorphic rocks compose 27.4% of the crust by volume.[9]
|
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+
|
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+
The three major classes of metamorphic rock are based upon the formation mechanism. An intrusion of magma that heats the surrounding rock causes contact metamorphism—a temperature-dominated transformation. Pressure metamorphism occurs when sediments are buried deep under the ground; pressure is dominant, and temperature plays a smaller role. This is termed burial metamorphism, and it can result in rocks such as jade. Where both heat and pressure play a role, the mechanism is termed regional metamorphism. This is typically found in mountain-building regions.[5]
|
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+
|
33 |
+
Depending on the structure, metamorphic rocks are divided into two general categories. Those that possess a texture are referred to as foliated; the remainders are termed non-foliated. The name of the rock is then determined based on the types of minerals present. Schists are foliated rocks that are primarily composed of lamellar minerals such as micas. A gneiss has visible bands of differing lightness, with a common example being the granite gneiss. Other varieties of foliated rock include slates, phyllites, and mylonite. Familiar examples of non-foliated metamorphic rocks include marble, soapstone, and serpentine. This branch contains quartzite—a metamorphosed form of sandstone—and hornfels.[5]
|
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+
|
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+
The use of rock has had a huge impact on the cultural and technological development of the human race. Rock has been used by humans and other hominids for at least 2.5 million years.[13] Lithic technology marks some of the oldest and continuously used technologies. The mining of rock for its metal content has been one of the most important factors of human advancement, and has progressed at different rates in different places, in part because of the kind of metals available from the rock of a region.
|
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|
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+
Mining is the extraction of valuable minerals or other geological materials from the earth, from an ore body, vein or seam.[14] The term also includes the removal of soil. Materials recovered by mining include base metals, precious metals, iron, uranium, coal, diamonds, limestone, oil shale, rock salt, potash, construction aggregate and dimension stone. Mining is required to obtain any material that cannot be grown through agricultural processes, or created artificially in a laboratory or factory. Mining in a wider sense comprises extraction of any resource (e.g. petroleum, natural gas, salt or even water) from the earth.[15]
|
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+
|
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+
Mining of rock and metals has been done since prehistoric times. Modern mining processes involve prospecting for mineral deposits, analysis of the profit potential of a proposed mine, extraction of the desired materials, and finally reclamation of the land to prepare it for other uses once mining ceases.[16]
|
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+
|
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Mining processes may create negative impacts on the environment both during the mining operations and for years after mining has ceased. These potential impacts have led to most of the world's nations adopting regulations to manage negative effects of mining operations.[17]
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en/5128.html.txt
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A rock is any naturally occurring solid mass or aggregate of minerals or mineraloid matter. It is categorized by the minerals included, its chemical composition and the way in which it is formed. Rocks are usually grouped into three main groups: igneous rocks, metamorphic rocks and sedimentary rocks. Rocks form the Earth's outer solid layer, the crust.
|
4 |
+
|
5 |
+
Igneous rocks are formed when magma cools in the Earth's crust, or lava cools on the ground surface or the seabed. The metamorphic rocks are formed when existing rocks are subjected to such large pressures and temperatures that they are transformed—something that occurs, for example, when continental plates collide. The sedimentary rocks are formed by diagenesis or lithification of sediments, which in turn are formed by the weathering, transport, and deposition of existing rocks.[1]
|
6 |
+
|
7 |
+
The scientific study of rocks is called petrology, which is an essential component of geology.[2]
|
8 |
+
|
9 |
+
Rocks are composed of grains of minerals, which are homogeneous solids formed from a chemical compound arranged in an orderly manner.[3][page needed] The aggregate minerals forming the rock are held together by chemical bonds. The types and abundance of minerals in a rock are determined by the manner in which it was formed.
|
10 |
+
|
11 |
+
Most rocks contain silicate minerals, compounds that include silicon oxide tetrahedra in their crystal lattice, and account for about one-third of all known mineral species and about 95% of the earth's crust.[4] The proportion of silica in rocks and minerals is a major factor in determining their names and properties.[5]
|
12 |
+
|
13 |
+
Rocks are classified according to characteristics such as mineral and chemical composition, permeability, texture of the constituent particles, and particle size. These physical properties are the result of the processes that formed the rocks.[6] Over the course of time, rocks can transform from one type into another, as described by a geological model called the rock cycle. This transformation produces three general classes of rock: igneous, sedimentary and metamorphic.
|
14 |
+
|
15 |
+
Those three classes are subdivided into many groups. There are, however, no hard-and-fast boundaries between allied rocks. By increase or decrease in the proportions of their minerals, they pass through gradations from one to the other; the distinctive structures of one kind of rock may thus be traced gradually merging into those of another. Hence the definitions adopted in rock names simply correspond to selected points in a continuously graduated series.[7]
|
16 |
+
|
17 |
+
Igneous rock (derived from the Latin word igneus, meaning of fire, from ignis meaning fire) is formed through the cooling and solidification of magma or lava. This magma may be derived from partial melts of pre-existing rocks in either a planet's mantle or crust. Typically, the melting of rocks is caused by one or more of three processes: an increase in temperature, a decrease in pressure, or a change in composition.
|
18 |
+
|
19 |
+
Igneous rocks are divided into two main categories:
|
20 |
+
|
21 |
+
The chemical abundance and the rate of cooling of magma typically forms a sequence known as Bowen's reaction series. Most major igneous rocks are found along this scale.[5]
|
22 |
+
|
23 |
+
About 65% of the Earth's crust by volume consists of igneous rocks, making it the most plentiful category. Of these, 66% are basalt and gabbro, 16% are granite, and 17% granodiorite and diorite. Only 0.6% are syenite and 0.3% are ultramafic. The oceanic crust is 99% basalt, which is an igneous rock of mafic composition. Granite and similar rocks, known as granitoids, dominate the continental crust.[8][9]
|
24 |
+
|
25 |
+
Sedimentary rocks are formed at the earth's surface by the accumulation and cementation of fragments of earlier rocks, minerals, and organisms[10] or as chemical precipitates and organic growths in water (sedimentation). This process causes clastic sediments (pieces of rock) or organic particles (detritus) to settle and accumulate, or for minerals to chemically precipitate (evaporite) from a solution. The particulate matter then undergoes compaction and cementation at moderate temperatures and pressures (diagenesis).
|
26 |
+
|
27 |
+
Before being deposited, sediments are formed by weathering of earlier rocks by erosion in a source area and then transported to the place of deposition by water, wind, ice, mass movement or glaciers (agents of denudation).[6] About 7.9% of the crust by volume is composed of sedimentary rocks, with 82% of those being shales, while the remainder consists of limestone (6%), sandstone and arkoses (12%).[9] Sedimentary rocks often contain fossils. Sedimentary rocks form under the influence of gravity and typically are deposited in horizontal or near horizontal layers or strata, and may be referred to as stratified rocks.[11]
|
28 |
+
|
29 |
+
Metamorphic rocks are formed by subjecting any rock type—sedimentary rock, igneous rock or another older metamorphic rock—to different temperature and pressure conditions than those in which the original rock was formed. This process is called metamorphism, meaning to "change in form". The result is a profound change in physical properties and chemistry of the stone. The original rock, known as the protolith, transforms into other mineral types or other forms of the same minerals, by recrystallization.[6] The temperatures and pressures required for this process are always higher than those found at the Earth's surface: temperatures greater than 150 to 200 °C and pressures of 1500 bars.[12] Metamorphic rocks compose 27.4% of the crust by volume.[9]
|
30 |
+
|
31 |
+
The three major classes of metamorphic rock are based upon the formation mechanism. An intrusion of magma that heats the surrounding rock causes contact metamorphism—a temperature-dominated transformation. Pressure metamorphism occurs when sediments are buried deep under the ground; pressure is dominant, and temperature plays a smaller role. This is termed burial metamorphism, and it can result in rocks such as jade. Where both heat and pressure play a role, the mechanism is termed regional metamorphism. This is typically found in mountain-building regions.[5]
|
32 |
+
|
33 |
+
Depending on the structure, metamorphic rocks are divided into two general categories. Those that possess a texture are referred to as foliated; the remainders are termed non-foliated. The name of the rock is then determined based on the types of minerals present. Schists are foliated rocks that are primarily composed of lamellar minerals such as micas. A gneiss has visible bands of differing lightness, with a common example being the granite gneiss. Other varieties of foliated rock include slates, phyllites, and mylonite. Familiar examples of non-foliated metamorphic rocks include marble, soapstone, and serpentine. This branch contains quartzite—a metamorphosed form of sandstone—and hornfels.[5]
|
34 |
+
|
35 |
+
The use of rock has had a huge impact on the cultural and technological development of the human race. Rock has been used by humans and other hominids for at least 2.5 million years.[13] Lithic technology marks some of the oldest and continuously used technologies. The mining of rock for its metal content has been one of the most important factors of human advancement, and has progressed at different rates in different places, in part because of the kind of metals available from the rock of a region.
|
36 |
+
|
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Mining is the extraction of valuable minerals or other geological materials from the earth, from an ore body, vein or seam.[14] The term also includes the removal of soil. Materials recovered by mining include base metals, precious metals, iron, uranium, coal, diamonds, limestone, oil shale, rock salt, potash, construction aggregate and dimension stone. Mining is required to obtain any material that cannot be grown through agricultural processes, or created artificially in a laboratory or factory. Mining in a wider sense comprises extraction of any resource (e.g. petroleum, natural gas, salt or even water) from the earth.[15]
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Mining of rock and metals has been done since prehistoric times. Modern mining processes involve prospecting for mineral deposits, analysis of the profit potential of a proposed mine, extraction of the desired materials, and finally reclamation of the land to prepare it for other uses once mining ceases.[16]
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Mining processes may create negative impacts on the environment both during the mining operations and for years after mining has ceased. These potential impacts have led to most of the world's nations adopting regulations to manage negative effects of mining operations.[17]
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Sedimentary rocks are types of rock that are formed by the accumulation or deposition of small particles and subsequent cementation of mineral or organic particles on the floor of oceans or other bodies of water at the Earth's surface. Sedimentation is the collective name for processes that cause these particles to settle in place. The particles that form a sedimentary rock are called sediment, and may be composed of geological detritus (minerals) or biological detritus (organic matter). Before being deposited, the geological detritus was formed by weathering and erosion from the source area, and then transported to the place of deposition by water, wind, ice, mass movement or glaciers, which are called agents of denudation. Biological detritus was formed by bodies and parts (mainly shells) of dead aquatic organisms, as well as their fecal mass, suspended in water and slowly piling up on the floor of water bodies (marine snow). Sedimentation may also occur as dissolved minerals precipitate from water solution.
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The sedimentary rock cover of the continents of the Earth's crust is extensive (73% of the Earth's current land surface[1]), but the total contribution of sedimentary rocks is estimated to be only 8% of the total volume of the crust.[2] Sedimentary rocks are only a thin veneer over a crust consisting mainly of igneous and metamorphic rocks. Sedimentary rocks are deposited in layers as strata, forming a structure called bedding. The study of sedimentary rocks and rock strata provides information about the subsurface that is useful for civil engineering, for example in the construction of roads, houses, tunnels, canals or other structures. Sedimentary rocks are also important sources of natural resources like coal, fossil fuels, drinking water or ores.
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The study of the sequence of sedimentary rock strata is the main source for an understanding of the Earth's history, including palaeogeography, paleoclimatology and the history of life. The scientific discipline that studies the properties and origin of sedimentary rocks is called sedimentology. Sedimentology is part of both geology and physical geography and overlaps partly with other disciplines in the Earth sciences, such as pedology, geomorphology, geochemistry and structural geology. Sedimentary rocks have also been found on Mars.
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Sedimentary rocks can be subdivided into four groups based on the processes responsible for their formation: clastic sedimentary rocks, biochemical (biogenic) sedimentary rocks, chemical sedimentary rocks, and a fourth category for "other" sedimentary rocks formed by impacts, volcanism, and other minor processes.
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Clastic sedimentary rocks are composed of other rock fragments that were cemented by silicate minerals. Clastic rocks are composed largely of quartz, feldspar, rock (lithic) fragments, clay minerals, and mica; any type of mineral may be present, but they in general represent the minerals that exist locally.
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Clastic sedimentary rocks, are subdivided according to the dominant particle size. Most geologists use the Udden-Wentworth grain size scale and divide unconsolidated sediment into three fractions: gravel (>2 mm diameter), sand (1/16 to 2 mm diameter), and mud (clay is <1/256 mm and silt is between 1/16 and 1/256 mm). The classification of clastic sedimentary rocks parallels this scheme; conglomerates and breccias are made mostly of gravel, sandstones are made mostly of sand, and mudrocks are made mostly of the finest material. This tripartite subdivision is mirrored by the broad categories of rudites, arenites, and lutites, respectively, in older literature.
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The subdivision of these three broad categories is based on differences in clast shape (conglomerates and breccias), composition (sandstones), grain size or texture (mudrocks).
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Conglomerates are dominantly composed of rounded gravel, while breccias are composed of dominantly angular gravel.
|
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Sandstone classification schemes vary widely, but most geologists have adopted the Dott scheme,[3] which uses the relative abundance of quartz, feldspar, and lithic framework grains and the abundance of a muddy matrix between the larger grains.
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Six sandstone names are possible using the descriptors for grain composition (quartz-, feldspathic-, and lithic-) and the amount of matrix (wacke or arenite). For example, a quartz arenite would be composed of mostly (>90%) quartz grains and have little or no clayey matrix between the grains, a lithic wacke would have abundant lithic grains and abundant muddy matrix, etc.
|
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Although the Dott classification scheme[3] is widely used by sedimentologists, common names like greywacke, arkose, and quartz sandstone are still widely used by non-specialists and in popular literature.
|
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Mudrocks are sedimentary rocks composed of at least 50% silt- and clay-sized particles. These relatively fine-grained particles are commonly transported by turbulent flow in water or air, and deposited as the flow calms and the particles settle out of suspension.
|
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Most authors presently use the term "mudrock" to refer to all rocks composed dominantly of mud.[4][5][6][7] Mudrocks can be divided into siltstones, composed dominantly of silt-sized particles; mudstones with subequal mixture of silt- and clay-sized particles; and claystones, composed mostly of clay-sized particles.[4][5] Most authors use "shale" as a term for a fissile mudrock (regardless of grain size) although some older literature uses the term "shale" as a synonym for mudrock.
|
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Biochemical sedimentary rocks are created when organisms use materials dissolved in air or water to build their tissue. Examples include:
|
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Chemical sedimentary rock forms when mineral constituents in solution become supersaturated and inorganically precipitate. Common chemical sedimentary rocks include oolitic limestone and rocks composed of evaporite minerals, such as halite (rock salt), sylvite, baryte and gypsum.
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This fourth miscellaneous category includes rocks formed by Pyroclastic flows, impact breccias, volcanic breccias, and other relatively uncommon processes.
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Alternatively, sedimentary rocks can be subdivided into compositional groups based on their mineralogy:
|
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Sedimentary rocks are formed when sediment is deposited out of air, ice, wind, gravity, or water flows carrying the particles in suspension. This sediment is often formed when weathering and erosion break down a rock into loose material in a source area. The material is then transported from the source area to the deposition area. The type of sediment transported depends on the geology of the hinterland (the source area of the sediment). However, some sedimentary rocks, such as evaporites, are composed of material that form at the place of deposition. The nature of a sedimentary rock, therefore, not only depends on the sediment supply, but also on the sedimentary depositional environment in which it formed.
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The term diagenesis is used to describe all the chemical, physical, and biological changes, exclusive of surface weathering, undergone by a sediment after its initial deposition. Some of those processes cause the sediment to consolidate into a compact, solid substance from the originally loose material. Young sedimentary rocks, especially those of Quaternary age (the most recent period of the geologic time scale) are often still unconsolidated. As sediment deposition builds up, the overburden (lithostatic) pressure rises, and a process known as lithification takes place.
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Sedimentary rocks are often saturated with seawater or groundwater, in which minerals can dissolve, or from which minerals can precipitate. Precipitating minerals reduce the pore space in a rock, a process called cementation. Due to the decrease in pore space, the original connate fluids are expelled. The precipitated minerals form a cement and make the rock more compact and competent. In this way, loose clasts in a sedimentary rock can become "glued" together.
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When sedimentation continues, an older rock layer becomes buried deeper as a result. The lithostatic pressure in the rock increases due to the weight of the overlying sediment. This causes compaction, a process in which grains mechanically reorganize. Compaction is, for example, an important diagenetic process in clay, which can initially consist of 60% water. During compaction, this interstitial water is pressed out of pore spaces. Compaction can also be the result of dissolution of grains by pressure solution. The dissolved material precipitates again in open pore spaces, which means there is a net flow of material into the pores. However, in some cases, a certain mineral dissolves and does not precipitate again. This process, called leaching, increases pore space in the rock.
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Some biochemical processes, like the activity of bacteria, can affect minerals in a rock and are therefore seen as part of diagenesis. Fungi and plants (by their roots) and various other organisms that live beneath the surface can also influence diagenesis.
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Burial of rocks due to ongoing sedimentation leads to increased pressure and temperature, which stimulates certain chemical reactions. An example is the reactions by which organic material becomes lignite or coal. When temperature and pressure increase still further, the realm of diagenesis makes way for metamorphism, the process that forms metamorphic rock.
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The color of a sedimentary rock is often mostly determined by iron, an element with two major oxides: iron(II) oxide and iron(III) oxide. Iron(II) oxide (FeO) only forms under low oxygen (anoxic) circumstances and gives the rock a grey or greenish colour. Iron(III) oxide (Fe2O3) in a richer oxygen environment is often found in the form of the mineral hematite and gives the rock a reddish to brownish colour. In arid continental climates rocks are in direct contact with the atmosphere, and oxidation is an important process, giving the rock a red or orange colour. Thick sequences of red sedimentary rocks formed in arid climates are called red beds. However, a red colour does not necessarily mean the rock formed in a continental environment or arid climate.[8]
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The presence of organic material can colour a rock black or grey. Organic material is formed from dead organisms, mostly plants. Normally, such material eventually decays by oxidation or bacterial activity. Under anoxic circumstances, however, organic material cannot decay and leaves a dark sediment, rich in organic material. This can, for example, occur at the bottom of deep seas and lakes. There is little water mixing in such environments; as a result, oxygen from surface water is not brought down, and the deposited sediment is normally a fine dark clay. Dark rocks, rich in organic material, are therefore often shales.[8][9]
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The size, form and orientation of clasts (the original pieces of rock) in a sediment is called its texture. The texture is a small-scale property of a rock, but determines many of its large-scale properties, such as the density, porosity or permeability.[10]
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The 3D orientation of the clasts is called the fabric of the rock. Between the clasts, the rock can be composed of a matrix (a cement) that consists of crystals of one or more precipitated minerals. The size and form of clasts can be used to determine the velocity and direction of current in the sedimentary environment that moved the clasts from their origin; fine, calcareous mud only settles in quiet water while gravel and larger clasts are moved only by rapidly moving water.[11][12] The grain size of a rock is usually expressed with the Wentworth scale, though alternative scales are sometimes used. The grain size can be expressed as a diameter or a volume, and is always an average value – a rock is composed of clasts with different sizes. The statistical distribution of grain sizes is different for different rock types and is described in a property called the sorting of the rock. When all clasts are more or less of the same size, the rock is called 'well-sorted', and when there is a large spread in grain size, the rock is called 'poorly sorted'.[13][14]
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The form of the clasts can reflect the origin of the rock.
|
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Coquina, a rock composed of clasts of broken shells, can only form in energetic water. The form of a clast can be described by using four parameters:[15][16]
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Chemical sedimentary rocks have a non-clastic texture, consisting entirely of crystals. To describe such a texture, only the average size of the crystals and the fabric are necessary.
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Most sedimentary rocks contain either quartz (especially siliciclastic rocks) or calcite (especially carbonate rocks). In contrast to igneous and metamorphic rocks, a sedimentary rock usually contains very few different major minerals. However, the origin of the minerals in a sedimentary rock is often more complex than in an igneous rock. Minerals in a sedimentary rock can have formed by precipitation during sedimentation or by diagenesis. In the second case, the mineral precipitate can have grown over an older generation of cement.[17] A complex diagenetic history can be studied by optical mineralogy, using a petrographic microscope.
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Carbonate rocks dominantly consist of carbonate minerals such as calcite, aragonite or dolomite. Both the cement and the clasts (including fossils and ooids) of a carbonate sedimentary rock can consist of carbonate minerals. The mineralogy of a clastic rock is determined by the material supplied by the source area, the manner of its transport to the place of deposition and the stability of that particular mineral. The resistance of rock-forming minerals to weathering is expressed by Bowen's reaction series. In this series, quartz is the most stable, followed by feldspar, micas, and finally other less stable minerals that are only present when little weathering has occurred.[18] The amount of weathering depends mainly on the distance to the source area, the local climate and the time it took for the sediment to be transported to the point where it is deposited. In most sedimentary rocks, mica, feldspar and less stable minerals have been reduced to clay minerals like kaolinite, illite or smectite.[clarification needed]
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Among the three major types of rock, fossils are most commonly found in sedimentary rock. Unlike most igneous and metamorphic rocks, sedimentary rocks form at temperatures and pressures that do not destroy fossil remnants. Often these fossils may only be visible under magnification.
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Dead organisms in nature are usually quickly removed by scavengers, bacteria, rotting and erosion, but sedimentation can contribute to exceptional circumstances where these natural processes are unable to work, causing fossilisation. The chance of fossilisation is higher when the sedimentation rate is high (so that a carcass is quickly buried), in anoxic environments (where little bacterial activity occurs) or when the organism had a particularly hard skeleton. Larger, well-preserved fossils are relatively rare.
|
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Fossils can be both the direct remains or imprints of organisms and their skeletons. Most commonly preserved are the harder parts of organisms such as bones, shells, and the woody tissue of plants. Soft tissue has a much smaller chance of being fossilized, and the preservation of soft tissue of animals older than 40 million years is very rare.[19] Imprints of organisms made while they were still alive are called trace fossils, examples of which are burrows, footprints, etc.
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As a part of a sedimentary or metamorphic rock, fossils undergo the same diagenetic processes as does the containing rock. A shell consisting of calcite can, for example, dissolve while a cement of silica then fills the cavity. In the same way, precipitating minerals can fill cavities formerly occupied by blood vessels, vascular tissue or other soft tissues. This preserves the form of the organism but changes the chemical composition, a process called permineralization.[20][21] The most common minerals involved in permineralization are cements of carbonates (especially calcite), forms of amorphous silica (chalcedony, flint, chert) and pyrite. In the case of silica cements, the process is called lithification.
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At high pressure and temperature, the organic material of a dead organism undergoes chemical reactions in which volatiles such as water and carbon dioxide are expulsed. The fossil, in the end, consists of a thin layer of pure carbon or its mineralized form, graphite. This form of fossilisation is called carbonisation. It is particularly important for plant fossils.[22] The same process is responsible for the formation of fossil fuels like lignite or coal.
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Structures in sedimentary rocks can be divided into 'primary' structures (formed during deposition) and 'secondary' structures (formed after deposition). Unlike textures, structures are always large-scale features that can easily be studied in the field. Sedimentary structures can indicate something about the sedimentary environment or can serve to tell which side originally faced up where tectonics have tilted or overturned sedimentary layers.
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Sedimentary rocks are laid down in layers called beds or strata. A bed is defined as a layer of rock that has a uniform lithology and texture. Beds form by the deposition of layers of sediment on top of each other. The sequence of beds that characterizes sedimentary rocks is called bedding.[23][24] Single beds can be a couple of centimetres to several meters thick. Finer, less pronounced layers are called laminae, and the structure a lamina forms in a rock is called lamination. Laminae are usually less than a few centimetres thick.[25] Though bedding and lamination are often originally horizontal in nature, this is not always the case. In some environments, beds are deposited at a (usually small) angle. Sometimes multiple sets of layers with different orientations exist in the same rock, a structure called cross-bedding.[26] Cross-bedding forms when small-scale erosion occurs during deposition, cutting off part of the beds. Newer beds then form at an angle to older ones.
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The opposite of cross-bedding is parallel lamination, where all sedimentary layering is parallel.[27] Differences in laminations are generally caused by cyclic changes in the sediment supply, caused, for example, by seasonal changes in rainfall, temperature or biochemical activity. Laminae that represent seasonal changes (similar to tree rings) are called varves. Any sedimentary rock composed of millimeter or finer scale layers can be named with the general term laminite. When sedimentary rocks have no lamination at all, their structural character is called massive bedding.
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Graded bedding is a structure where beds with a smaller grain size occur on top of beds with larger grains. This structure forms when fast flowing water stops flowing. Larger, heavier clasts in suspension settle first, then smaller clasts. Although graded bedding can form in many different environments, it is a characteristic of turbidity currents.[28]
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The surface of a particular bed, called the bedform, can be indicative of a particular sedimentary environment, too. Examples of bed forms include dunes and ripple marks. Sole markings, such as tool marks and flute casts, are groves dug into a sedimentary layer that are preserved. These are often elongated structures and can be used to establish the direction of the flow during deposition.[29][30]
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Ripple marks also form in flowing water. There are two types of ripples: symmetric and asymmetric. Environments where the current is in one direction, such as rivers, produce asymmetric ripples. The longer flank of such ripples is on the upstream side of the current.[31][32][33] Symmetric wave ripples occur in environments where currents reverse directions, such as tidal flats.
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Mudcracks are a bed form caused by the dehydration of sediment that occasionally comes above the water surface. Such structures are commonly found at tidal flats or point bars along rivers.
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Secondary sedimentary structures are those which formed after deposition. Such structures form by chemical, physical and biological processes within the sediment. They can be indicators of circumstances after deposition. Some can be used as way up criteria.
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Organic materials in a sediment can leave more traces than just fossils. Preserved tracks and burrows are examples of trace fossils (also called ichnofossils).[34] Such traces are relatively rare. Most trace fossils are burrows of molluscs or arthropods. This burrowing is called bioturbation by sedimentologists. It can be a valuable indicator of the biological and ecological environment that existed after the sediment was deposited. On the other hand, the burrowing activity of organisms can destroy other (primary) structures in the sediment, making a reconstruction more difficult.
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Secondary structures can also form by diagenesis or the formation of a soil (pedogenesis) when a sediment is exposed above the water level. An example of a diagenetic structure common in carbonate rocks is a stylolite.[35] Stylolites are irregular planes where material was dissolved into the pore fluids in the rock. This can result in the precipitation of a certain chemical species producing colouring and staining of the rock, or the formation of concretions. Concretions are roughly concentric bodies with a different composition from the host rock. Their formation can be the result of localized precipitation due to small differences in composition or porosity of the host rock, such as around fossils, inside burrows or around plant roots.[36] In carbonate based rocks such as limestone or chalk, chert or flint concretions are common, while terrestrial sandstones can have iron concretions. Calcite concretions in clay are called septarian concretions.
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After deposition, physical processes can deform the sediment, producing a third class of secondary structures. Density contrasts between different sedimentary layers, such as between sand and clay, can result in flame structures or load casts, formed by inverted diapirism.[37] While the clastic bed is still fluid, diapirism can cause a denser upper layer to sink into a lower layer. Sometimes, density contrasts can result or grow when one of the lithologies dehydrates. Clay can be easily compressed as a result of dehydration, while sand retains the same volume and becomes relatively less dense. On the other hand, when the pore fluid pressure in a sand layer surpasses a critical point, the sand can break through overlying clay layers and flow through, forming discordant bodies of sedimentary rock called sedimentary dykes. The same process can form mud volcanoes on the surface where they broke through upper layers.
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Sedimentary dykes can also be formed in a cold climate where the soil is permanently frozen during a large part of the year. Frost weathering can form cracks in the soil that fill with rubble from above. Such structures can be used as climate indicators as well as way up structures.[38]
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Density contrasts can also cause small-scale faulting, even while sedimentation progresses (synchronous-sedimentary faulting).[39] Such faulting can also occur when large masses of non-lithified sediment are deposited on a slope, such as at the front side of a delta or the continental slope. Instabilities in such sediments can result in the deposited material to slump, producing fissures and folding. The resulting structures in the rock are syn-sedimentary folds and faults, which can be difficult to distinguish from folds and faults formed by tectonic forces acting on lithified rocks.
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The setting in which a sedimentary rock forms is called the depositional environment. Every environment has a characteristic combination of geologic processes, and circumstances. The type of sediment that is deposited is not only dependent on the sediment that is transported to a place (provenance), but also on the environment itself.[40]
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A marine environment means that the rock was formed in a sea or ocean. Often, a distinction is made between deep and shallow marine environments. Deep marine usually refers to environments more than 200 m below the water surface (including the abyssal plain). Shallow marine environments exist adjacent to coastlines and can extend to the boundaries of the continental shelf. The water movements in such environments have a generally higher energy than that in deep environments, as wave activity diminishes with depth. This means that coarser sediment particles can be transported and the deposited sediment can be coarser than in deeper environments. When the sediment is transported from the continent, an alternation of sand, clay and silt is deposited. When the continent is far away, the amount of such sediment deposited may be small, and biochemical processes dominate the type of rock that forms. Especially in warm climates, shallow marine environments far offshore mainly see deposition of carbonate rocks. The shallow, warm water is an ideal habitat for many small organisms that build carbonate skeletons. When these organisms die, their skeletons sink to the bottom, forming a thick layer of calcareous mud that may lithify into limestone. Warm shallow marine environments also are ideal environments for coral reefs, where the sediment consists mainly of the calcareous skeletons of larger organisms.[41]
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In deep marine environments, the water current working the sea bottom is small. Only fine particles can be transported to such places. Typically sediments depositing on the ocean floor are fine clay or small skeletons of micro-organisms. At 4 km depth, the solubility of carbonates increases dramatically (the depth zone where this happens is called the lysocline). Calcareous sediment that sinks below the lysocline dissolves; as a result, no limestone can be formed below this depth. Skeletons of micro-organisms formed of silica (such as radiolarians) are not as soluble and still deposit. An example of a rock formed of silica skeletons is radiolarite. When the bottom of the sea has a small inclination, for example at the continental slopes, the sedimentary cover can become unstable, causing turbidity currents. Turbidity currents are sudden disturbances of the normally quite deep marine environment and can cause the geologically speaking instantaneous deposition of large amounts of sediment, such as sand and silt. The rock sequence formed by a turbidity current is called a turbidite.[42]
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The coast is an environment dominated by wave action. At a beach, dominantly denser sediment such as sand or gravel, often mingled with shell fragments, is deposited, while the silt and clay sized material is kept in mechanical suspension. Tidal flats and shoals are places that sometimes dry because of the tide. They are often cross-cut by gullies, where the current is strong and the grain size of the deposited sediment is larger. Where rivers enter the body of water, either on a sea or lake coast, deltas can form. These are large accumulations of sediment transported from the continent to places in front of the mouth of the river. Deltas are dominantly composed of clastic sediment (in contrast to chemical).
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A sedimentary rock formed on land has a continental sedimentary environment. Examples of continental environments are lagoons, lakes, swamps, floodplains and alluvial fans. In the quiet water of swamps, lakes and lagoons, fine sediment is deposited, mingled with organic material from dead plants and animals. In rivers, the energy of the water is much greater and can transport heavier clastic material. Besides transport by water, sediment can in continental environments also be transported by wind or glaciers. Sediment transported by wind is called aeolian and is always very well sorted, while sediment transported by a glacier is called glacial till and is characterized by very poor sorting.[43]
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Aeolian deposits can be quite striking. The depositional environment of the Touchet Formation, located in the Northwestern United States, had intervening periods of aridity which resulted in a series of rhythmite layers. Erosional cracks were later infilled with layers of soil material, especially from aeolian processes. The infilled sections formed vertical inclusions in the horizontally deposited layers of the Touchet Formation, and thus provided evidence of the events that intervened over time among the forty-one layers that were deposited.[44]
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The typical rock formed in a certain depositional environment is called its sedimentary facies. Sedimentary environments usually exist alongside each other in certain natural successions. A beach, where sand and gravel is deposited, is usually bounded by a deeper marine environment a little offshore, where finer sediments are deposited at the same time. Behind the beach, there can be dunes (where the dominant deposition is well sorted sand) or a lagoon (where fine clay and organic material is deposited). Every sedimentary environment has its own characteristic deposits. When sedimentary strata accumulate through time, the environment can shift, forming a change in facies in the subsurface at one location. On the other hand, when a rock layer with a certain age is followed laterally, the lithology (the type of rock) and facies eventually change.[45]
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Facies can be distinguished in a number of ways: the most common are by the lithology (for example: limestone, siltstone or sandstone) or by fossil content. Coral, for example, only lives in warm and shallow marine environments and fossils of coral are thus typical for shallow marine facies. Facies determined by lithology are called lithofacies; facies determined by fossils are biofacies.[46]
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Sedimentary environments can shift their geographical positions through time. Coastlines can shift in the direction of the sea when the sea level drops (regression), when the surface rises (transgression) due to tectonic forces in the Earth's crust or when a river forms a large delta. In the subsurface, such geographic shifts of sedimentary environments of the past are recorded in shifts in sedimentary facies. This means that sedimentary facies can change either parallel or perpendicular to an imaginary layer of rock with a fixed age, a phenomenon described by Walther's Law.[47]
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The situation in which coastlines move in the direction of the continent is called transgression. In the case of transgression, deeper marine facies are deposited over shallower facies, a succession called onlap. Regression is the situation in which a coastline moves in the direction of the sea. With regression, shallower facies are deposited on top of deeper facies, a situation called offlap.[48]
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The facies of all rocks of a certain age can be plotted on a map to give an overview of the palaeogeography. A sequence of maps for different ages can give an insight in the development of the regional geography.
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A regressive facies shown on a stratigraphic column
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Places where large-scale sedimentation takes place are called sedimentary basins. The amount of sediment that can be deposited in a basin depends on the depth of the basin, the so-called accommodation space. The depth, shape and size of a basin depend on tectonics, movements within the Earth's lithosphere. Where the lithosphere moves upward (tectonic uplift), land eventually rises above sea level and the area becomes a source for new sediment as erosion removes material. Where the lithosphere moves downward (tectonic subsidence), a basin forms and sediments are deposited.
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A type of basin formed by the moving apart of two pieces of a continent is called a rift basin. Rift basins are elongated, narrow and deep basins. Due to divergent movement, the lithosphere is stretched and thinned, so that the hot asthenosphere rises and heats the overlying rift basin. Apart from continental sediments, rift basins normally also have part of their infill consisting of volcanic deposits. When the basin grows due to continued stretching of the lithosphere, the rift grows and the sea can enter, forming marine deposits.
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When a piece of lithosphere that was heated and stretched cools again, its density rises, causing isostatic subsidence. If this subsidence continues long enough, the basin is called a sag basin. Examples of sag basins are the regions along passive continental margins, but sag basins can also be found in the interior of continents. In sag basins, the extra weight of the newly deposited sediments is enough to keep the subsidence going in a vicious circle. The total thickness of the sedimentary infill in a sag basins can thus exceed 10 km.
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A third type of basin exists along convergent plate boundaries – places where one tectonic plate moves under another into the asthenosphere. The subducting plate bends and forms a fore-arc basin in front of the overriding plate – the an elongated, deep asymmetric basin. Fore-arc basins are filled with deep marine deposits and thick sequences of turbidites. Such infill is called flysch. When the convergent movement of the two plates results in continental collision, the basin becomes shallower and develops into a foreland basin. At the same time, tectonic uplift forms a mountain belt in the overriding plate, from which large amounts of material are eroded and transported to the basin. Such erosional material of a growing mountain chain is called molasse and has either a shallow marine or a continental facies.
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At the same time, the growing weight of the mountain belt can cause isostatic subsidence in the area of the overriding plate on the other side to the mountain belt. The basin type resulting from this subsidence is called a back-arc basin and is usually filled by shallow marine deposits and molasse.[49]
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In many cases facies changes and other lithological features in sequences of sedimentary rock have a cyclic nature. This cyclic nature was caused by cyclic changes in sediment supply and the sedimentary environment. Most of these cyclic changes are caused by astronomic cycles. Short astronomic cycles can be the difference between the tides or the spring tide every two weeks. On a larger time-scale, cyclic changes in climate and sea level are caused by Milankovitch cycles: cyclic changes in the orientation and/or position of the Earth's rotational axis and orbit around the Sun. There are a number of Milankovitch cycles known, lasting between 10,000 and 200,000 years.[50]
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Relatively small changes in the orientation of the Earth's axis or length of the seasons can be a major influence on the Earth's climate. An example are the ice ages of the past 2.6 million years (the Quaternary period), which are assumed to have been caused by astronomic cycles.[51][52] Climate change can influence the global sea level (and thus the amount of accommodation space in sedimentary basins) and sediment supply from a certain region. Eventually, small changes in astronomic parameters can cause large changes in sedimentary environment and sedimentation.
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The rate at which sediment is deposited differs depending on the location. A channel in a tidal flat can see the deposition of a few metres of sediment in one day, while on the deep ocean floor each year only a few millimetres of sediment accumulate. A distinction can be made between normal sedimentation and sedimentation caused by catastrophic processes. The latter category includes all kinds of sudden exceptional processes like mass movements, rock slides or flooding. Catastrophic processes can see the sudden deposition of a large amount of sediment at once. In some sedimentary environments, most of the total column of sedimentary rock was formed by catastrophic processes, even though the environment is usually a quiet place. Other sedimentary environments are dominated by normal, ongoing sedimentation.[53]
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In many cases, sedimentation occurs slowly. In a desert, for example, the wind deposits siliciclastic material (sand or silt) in some spots, or catastrophic flooding of a wadi may cause sudden deposits of large quantities of detrital material, but in most places eolian erosion dominates. The amount of sedimentary rock that forms is not only dependent on the amount of supplied material, but also on how well the material consolidates. Erosion removes most deposited sediment shortly after deposition.[53]
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That new rock layers are above older rock layers is stated in the principle of superposition. There are usually some gaps in the sequence called unconformities. These represent periods where no new sediments were laid down, or when earlier sedimentary layers were raised above sea level and eroded away.
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Sedimentary rocks contain important information about the history of the Earth. They contain fossils, the preserved remains of ancient plants and animals. Coal is considered a type of sedimentary rock. The composition of sediments provides us with clues as to the original rock. Differences between successive layers indicate changes to the environment over time. Sedimentary rocks can contain fossils because, unlike most igneous and metamorphic rocks, they form at temperatures and pressures that do not destroy fossil remains.
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Provenance is the reconstruction of the origin of sediments. All rock exposed at the Earth's surface is subjected to physical or chemical weathering and broken down into finer grained sediment. All three types of rocks (igneous, sedimentary and metamorphic rocks) can be the source of sedimentary detritus. The purpose of sedimentary provenance studies is to reconstruct and interpret the history of sediment from the initial parent rocks at a source area to final detritus at a burial place.[54]
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Bacteria (/bækˈtɪəriə/ (listen); common noun bacteria, singular bacterium) are a type of biological cell. They constitute a large domain of prokaryotic microorganisms. Typically a few micrometres in length, bacteria have a number of shapes, ranging from spheres to rods and spirals. Bacteria were among the first life forms to appear on Earth, and are present in most of its habitats. Bacteria inhabit soil, water, acidic hot springs, radioactive waste,[4] and the deep biosphere of the earth's crust. Bacteria also live in symbiotic and parasitic relationships with plants and animals. Most bacteria have not been characterised, and only about 27 percent of the bacterial phyla have species that can be grown in the laboratory.[5] The study of bacteria is known as bacteriology, a branch of microbiology.
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Nearly all animal life is dependent on bacteria for survival as only bacteria and some archaea possess the genes and enzymes necessary to synthesize vitamin B12, also known as cobalamin, and provide it through the food chain. Vitamin B12 is a water-soluble vitamin that is involved in the metabolism of every cell of the human body. It is a cofactor in DNA synthesis, and in both fatty acid and amino acid metabolism. It is particularly important in the normal functioning of the nervous system via its role in the synthesis of myelin.[6][7][8][9]
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There are typically 40 million bacterial cells in a gram of soil and a million bacterial cells in a millilitre of fresh water. There are approximately 5×1030 bacteria on Earth,[10] forming a biomass which exceeds that of all plants and animals.[11] Bacteria are vital in many stages of the nutrient cycle by recycling nutrients such as the fixation of nitrogen from the atmosphere. The nutrient cycle includes the decomposition of dead bodies; bacteria are responsible for the putrefaction stage in this process.[12] In the biological communities surrounding hydrothermal vents and cold seeps, extremophile bacteria provide the nutrients needed to sustain life by converting dissolved compounds, such as hydrogen sulphide and methane, to energy.
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In humans and most animals the largest number of bacteria exist in the gut, and a large number on the skin.[13] The vast majority of the bacteria in the body are rendered harmless by the protective effects of the immune system, though many are beneficial, particularly in the gut flora. However, several species of bacteria are pathogenic and cause infectious diseases, including cholera, syphilis, anthrax, leprosy, and bubonic plague. The most common fatal bacterial diseases are respiratory infections. Tuberculosis alone kills about 2 million people per year, mostly in sub-Saharan Africa.[14] Antibiotics are used to treat bacterial infections and are also used in farming, making antibiotic resistance a growing problem. In industry, bacteria are important in sewage treatment and the breakdown of oil spills, the production of cheese and yogurt through fermentation, the recovery of gold, palladium, copper and other metals in the mining sector,[15] as well as in biotechnology, and the manufacture of antibiotics and other chemicals.[16]
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Once regarded as plants constituting the class Schizomycetes ("fission fungi"), bacteria are now classified as prokaryotes. Unlike cells of animals and other eukaryotes, bacterial cells do not contain a nucleus and rarely harbour membrane-bound organelles. Although the term bacteria traditionally included all prokaryotes, the scientific classification changed after the discovery in the 1990s that prokaryotes consist of two very different groups of organisms that evolved from an ancient common ancestor. These evolutionary domains are called Bacteria and Archaea.[1]
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The word bacteria is the plural of the New Latin bacterium, which is the latinisation of the Greek βακτήριον (bakterion),[17] the diminutive of βακτηρία (bakteria), meaning "staff, cane",[18] because the first ones to be discovered were rod-shaped.[19][20]
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The ancestors of modern bacteria were unicellular microorganisms that were the first forms of life to appear on Earth, about 4 billion years ago. For about 3 billion years, most organisms were microscopic, and bacteria and archaea were the dominant forms of life.[21][22] Although bacterial fossils exist, such as stromatolites, their lack of distinctive morphology prevents them from being used to examine the history of bacterial evolution, or to date the time of origin of a particular bacterial species. However, gene sequences can be used to reconstruct the bacterial phylogeny, and these studies indicate that bacteria diverged first from the archaeal/eukaryotic lineage.[23] The most recent common ancestor of bacteria and archaea was probably a hyperthermophile that lived about 2.5 billion–3.2 billion years ago.[24][25] The earliest life on land may have been bacteria some 3.22 billion years ago.[26]
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Bacteria were also involved in the second great evolutionary divergence, that of the archaea and eukaryotes. Here, eukaryotes resulted from the entering of ancient bacteria into endosymbiotic associations with the ancestors of eukaryotic cells, which were themselves possibly related to the Archaea.[27][28] This involved the engulfment by proto-eukaryotic cells of alphaproteobacterial symbionts to form either mitochondria or hydrogenosomes, which are still found in all known Eukarya (sometimes in highly reduced form, e.g. in ancient "amitochondrial" protozoa). Later, some eukaryotes that already contained mitochondria also engulfed cyanobacteria-like organisms, leading to the formation of chloroplasts in algae and plants. This is known as primary endosymbiosis.[29][30]
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Bacteria display a wide diversity of shapes and sizes, called morphologies. Bacterial cells are about one-tenth the size of eukaryotic cells and are typically 0.5–5.0 micrometres in length. However, a few species are visible to the unaided eye—for example, Thiomargarita namibiensis is up to half a millimetre long[31] and Epulopiscium fishelsoni reaches 0.7 mm.[32] Among the smallest bacteria are members of the genus Mycoplasma, which measure only 0.3 micrometres, as small as the largest viruses.[33] Some bacteria may be even smaller, but these ultramicrobacteria are not well-studied.[34]
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Most bacterial species are either spherical, called cocci (singular coccus, from Greek kókkos, grain, seed), or rod-shaped, called bacilli (sing. bacillus, from Latin baculus, stick).[35] Some bacteria, called vibrio, are shaped like slightly curved rods or comma-shaped; others can be spiral-shaped, called spirilla, or tightly coiled, called spirochaetes. A small number of other unusual shapes have been described, such as star-shaped bacteria.[36] This wide variety of shapes is determined by the bacterial cell wall and cytoskeleton, and is important because it can influence the ability of bacteria to acquire nutrients, attach to surfaces, swim through liquids and escape predators.[37][38]
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Many bacterial species exist simply as single cells, others associate in characteristic patterns: Neisseria form diploids (pairs), Streptococcus form chains, and Staphylococcus group together in "bunch of grapes" clusters. Bacteria can also group to form larger multicellular structures, such as the elongated filaments of Actinobacteria, the aggregates of Myxobacteria, and the complex hyphae of Streptomyces.[39] These multicellular structures are often only seen in certain conditions. For example, when starved of amino acids, Myxobacteria detect surrounding cells in a process known as quorum sensing, migrate towards each other, and aggregate to form fruiting bodies up to 500 micrometres long and containing approximately 100,000 bacterial cells.[40] In these fruiting bodies, the bacteria perform separate tasks; for example, about one in ten cells migrate to the top of a fruiting body and differentiate into a specialised dormant state called a myxospore, which is more resistant to drying and other adverse environmental conditions.[41]
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Bacteria often attach to surfaces and form dense aggregations called biofilms, and larger formations known as microbial mats. These biofilms and mats can range from a few micrometres in thickness to up to half a metre in depth, and may contain multiple species of bacteria, protists and archaea. Bacteria living in biofilms display a complex arrangement of cells and extracellular components, forming secondary structures, such as microcolonies, through which there are networks of channels to enable better diffusion of nutrients.[42][43] In natural environments, such as soil or the surfaces of plants, the majority of bacteria are bound to surfaces in biofilms.[44] Biofilms are also important in medicine, as these structures are often present during chronic bacterial infections or in infections of implanted medical devices, and bacteria protected within biofilms are much harder to kill than individual isolated bacteria.[45]
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The bacterial cell is surrounded by a cell membrane, which is made primarily of phospholipids. This membrane encloses the contents of the cell and acts as a barrier to hold nutrients, proteins and other essential components of the cytoplasm within the cell.[46] Unlike eukaryotic cells, bacteria usually lack large membrane-bound structures in their cytoplasm such as a nucleus, mitochondria, chloroplasts and the other organelles present in eukaryotic cells.[47] However, some bacteria have protein-bound organelles in the cytoplasm which compartmentalize aspects of bacterial metabolism,[48][49] such as the carboxysome.[50] Additionally, bacteria have a multi-component cytoskeleton to control the localisation of proteins and nucleic acids within the cell, and to manage the process of cell division.[51][52][53]
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Many important biochemical reactions, such as energy generation, occur due to concentration gradients across membranes, creating a potential difference analogous to a battery. The general lack of internal membranes in bacteria means these reactions, such as electron transport, occur across the cell membrane between the cytoplasm and the outside of the cell or periplasm.[54] However, in many photosynthetic bacteria the plasma membrane is highly folded and fills most of the cell with layers of light-gathering membrane.[55] These light-gathering complexes may even form lipid-enclosed structures called chlorosomes in green sulfur bacteria.[56]
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Bacteria do not have a membrane-bound nucleus, and their genetic material is typically a single circular bacterial chromosome of DNA located in the cytoplasm in an irregularly shaped body called the nucleoid.[57] The nucleoid contains the chromosome with its associated proteins and RNA. Like all other organisms, bacteria contain ribosomes for the production of proteins, but the structure of the bacterial ribosome is different from that of eukaryotes and Archaea.[58]
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Some bacteria produce intracellular nutrient storage granules, such as glycogen,[59] polyphosphate,[60] sulfur[61] or polyhydroxyalkanoates.[62] Bacteria such as the photosynthetic cyanobacteria, produce internal gas vacuoles, which they use to regulate their buoyancy, allowing them to move up or down into water layers with different light intensities and nutrient levels.[63]
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Around the outside of the cell membrane is the cell wall. Bacterial cell walls are made of peptidoglycan (also called murein), which is made from polysaccharide chains cross-linked by peptides containing D-amino acids.[64] Bacterial cell walls are different from the cell walls of plants and fungi, which are made of cellulose and chitin, respectively.[65] The cell wall of bacteria is also distinct from that of Archaea, which do not contain peptidoglycan. The cell wall is essential to the survival of many bacteria, and the antibiotic penicillin (produced by a fungus called Penicillium) is able to kill bacteria by inhibiting a step in the synthesis of peptidoglycan.[65]
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There are broadly speaking two different types of cell wall in bacteria, that classify bacteria into Gram-positive bacteria and Gram-negative bacteria. The names originate from the reaction of cells to the Gram stain, a long-standing test for the classification of bacterial species.[66]
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Gram-positive bacteria possess a thick cell wall containing many layers of peptidoglycan and teichoic acids. In contrast, Gram-negative bacteria have a relatively thin cell wall consisting of a few layers of peptidoglycan surrounded by a second lipid membrane containing lipopolysaccharides and lipoproteins. Most bacteria have the Gram-negative cell wall, and only the Firmicutes and Actinobacteria (previously known as the low G+C and high G+C Gram-positive bacteria, respectively) have the alternative Gram-positive arrangement.[67] These differences in structure can produce differences in antibiotic susceptibility; for instance, vancomycin can kill only Gram-positive bacteria and is ineffective against Gram-negative pathogens, such as Haemophilus influenzae or Pseudomonas aeruginosa.[68] Some bacteria have cell wall structures that are neither classically Gram-positive or Gram-negative. This includes clinically important bacteria such as Mycobacteria which have a thick peptidoglycan cell wall like a Gram-positive bacterium, but also a second outer layer of lipids.[69]
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In many bacteria, an S-layer of rigidly arrayed protein molecules covers the outside of the cell.[70] This layer provides chemical and physical protection for the cell surface and can act as a macromolecular diffusion barrier. S-layers have diverse but mostly poorly understood functions, but are known to act as virulence factors in Campylobacter and contain surface enzymes in Bacillus stearothermophilus.[71]
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Flagella are rigid protein structures, about 20 nanometres in diameter and up to 20 micrometres in length, that are used for motility. Flagella are driven by the energy released by the transfer of ions down an electrochemical gradient across the cell membrane.[72]
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Fimbriae (sometimes called "attachment pili") are fine filaments of protein, usually 2–10 nanometres in diameter and up to several micrometres in length. They are distributed over the surface of the cell, and resemble fine hairs when seen under the electron microscope. Fimbriae are believed to be involved in attachment to solid surfaces or to other cells, and are essential for the virulence of some bacterial pathogens.[73] Pili (sing. pilus) are cellular appendages, slightly larger than fimbriae, that can transfer genetic material between bacterial cells in a process called conjugation where they are called conjugation pili or sex pili (see bacterial genetics, below).[74] They can also generate movement where they are called type IV pili.[75]
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Glycocalyx is produced by many bacteria to surround their cells, and varies in structural complexity: ranging from a disorganised slime layer of extracellular polymeric substances to a highly structured capsule. These structures can protect cells from engulfment by eukaryotic cells such as macrophages (part of the human immune system).[76] They can also act as antigens and be involved in cell recognition, as well as aiding attachment to surfaces and the formation of biofilms.[77]
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The assembly of these extracellular structures is dependent on bacterial secretion systems. These transfer proteins from the cytoplasm into the periplasm or into the environment around the cell. Many types of secretion systems are known and these structures are often essential for the virulence of pathogens, so are intensively studied.[78]
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Certain genera of Gram-positive bacteria, such as Bacillus, Clostridium, Sporohalobacter, Anaerobacter, and Heliobacterium, can form highly resistant, dormant structures called endospores.[79] Endospores develop within the cytoplasm of the cell; generally a single endospore develops in each cell.[80] Each endospore contains a core of DNA and ribosomes surrounded by a cortex layer and protected by a multilayer rigid coat composed of peptidoglycan and a variety of proteins.[80]
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Endospores show no detectable metabolism and can survive extreme physical and chemical stresses, such as high levels of UV light, gamma radiation, detergents, disinfectants, heat, freezing, pressure, and desiccation.[81] In this dormant state, these organisms may remain viable for millions of years,[82][83][84] and endospores even allow bacteria to survive exposure to the vacuum and radiation in space, possibly bacteria could be distributed throughout the Universe by space dust, meteoroids, asteroids, comets, planetoids or via directed panspermia.[85][86] Endospore-forming bacteria can also cause disease: for example, anthrax can be contracted by the inhalation of Bacillus anthracis endospores, and contamination of deep puncture wounds with Clostridium tetani endospores causes tetanus.[87]
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Bacteria exhibit an extremely wide variety of metabolic types.[88] The distribution of metabolic traits within a group of bacteria has traditionally been used to define their taxonomy, but these traits often do not correspond with modern genetic classifications.[89] Bacterial metabolism is classified into nutritional groups on the basis of three major criteria: the source of energy, the electron donors used, and the source of carbon used for growth.[90]
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Bacteria either derive energy from light using photosynthesis (called phototrophy), or by breaking down chemical compounds using oxidation (called chemotrophy).[91] Chemotrophs use chemical compounds as a source of energy by transferring electrons from a given electron donor to a terminal electron acceptor in a redox reaction. This reaction releases energy that can be used to drive metabolism. Chemotrophs are further divided by the types of compounds they use to transfer electrons. Bacteria that use inorganic compounds such as hydrogen, carbon monoxide, or ammonia as sources of electrons are called lithotrophs, while those that use organic compounds are called organotrophs.[91] The compounds used to receive electrons are also used to classify bacteria: aerobic organisms use oxygen as the terminal electron acceptor, while anaerobic organisms use other compounds such as nitrate, sulfate, or carbon dioxide.[91]
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Many bacteria get their carbon from other organic carbon, called heterotrophy. Others such as cyanobacteria and some purple bacteria are autotrophic, meaning that they obtain cellular carbon by fixing carbon dioxide.[92] In unusual circumstances, the gas methane can be used by methanotrophic bacteria as both a source of electrons and a substrate for carbon anabolism.[93]
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In many ways, bacterial metabolism provides traits that are useful for ecological stability and for human society. One example is that some bacteria have the ability to fix nitrogen gas using the enzyme nitrogenase. This environmentally important trait can be found in bacteria of most metabolic types listed above.[94] This leads to the ecologically important processes of denitrification, sulfate reduction, and acetogenesis, respectively.[95][96] Bacterial metabolic processes are also important in biological responses to pollution; for example, sulfate-reducing bacteria are largely responsible for the production of the highly toxic forms of mercury (methyl- and dimethylmercury) in the environment.[97] Non-respiratory anaerobes use fermentation to generate energy and reducing power, secreting metabolic by-products (such as ethanol in brewing) as waste. Facultative anaerobes can switch between fermentation and different terminal electron acceptors depending on the environmental conditions in which they find themselves.[98]
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Unlike in multicellular organisms, increases in cell size (cell growth) and reproduction by cell division are tightly linked in unicellular organisms. Bacteria grow to a fixed size and then reproduce through binary fission, a form of asexual reproduction.[99] Under optimal conditions, bacteria can grow and divide extremely rapidly, and bacterial populations can double as quickly as every 9.8 minutes.[100] In cell division, two identical clone daughter cells are produced. Some bacteria, while still reproducing asexually, form more complex reproductive structures that help disperse the newly formed daughter cells. Examples include fruiting body formation by Myxobacteria and aerial hyphae formation by Streptomyces, or budding. Budding involves a cell forming a protrusion that breaks away and produces a daughter cell.[101]
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In the laboratory, bacteria are usually grown using solid or liquid media. Solid growth media, such as agar plates, are used to isolate pure cultures of a bacterial strain. However, liquid growth media are used when the measurement of growth or large volumes of cells are required. Growth in stirred liquid media occurs as an even cell suspension, making the cultures easy to divide and transfer, although isolating single bacteria from liquid media is difficult. The use of selective media (media with specific nutrients added or deficient, or with antibiotics added) can help identify specific organisms.[103]
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Most laboratory techniques for growing bacteria use high levels of nutrients to produce large amounts of cells cheaply and quickly. However, in natural environments, nutrients are limited, meaning that bacteria cannot continue to reproduce indefinitely. This nutrient limitation has led the evolution of different growth strategies (see r/K selection theory). Some organisms can grow extremely rapidly when nutrients become available, such as the formation of algal (and cyanobacterial) blooms that often occur in lakes during the summer.[104] Other organisms have adaptations to harsh environments, such as the production of multiple antibiotics by Streptomyces that inhibit the growth of competing microorganisms.[105] In nature, many organisms live in communities (e.g., biofilms) that may allow for increased supply of nutrients and protection from environmental stresses.[44] These relationships can be essential for growth of a particular organism or group of organisms (syntrophy).[106]
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Bacterial growth follows four phases. When a population of bacteria first enter a high-nutrient environment that allows growth, the cells need to adapt to their new environment. The first phase of growth is the lag phase, a period of slow growth when the cells are adapting to the high-nutrient environment and preparing for fast growth. The lag phase has high biosynthesis rates, as proteins necessary for rapid growth are produced.[107][108] The second phase of growth is the logarithmic phase, also known as the exponential phase. The log phase is marked by rapid exponential growth. The rate at which cells grow during this phase is known as the growth rate (k), and the time it takes the cells to double is known as the generation time (g). During log phase, nutrients are metabolised at maximum speed until one of the nutrients is depleted and starts limiting growth. The third phase of growth is the stationary phase and is caused by depleted nutrients. The cells reduce their metabolic activity and consume non-essential cellular proteins. The stationary phase is a transition from rapid growth to a stress response state and there is increased expression of genes involved in DNA repair, antioxidant metabolism and nutrient transport.[109] The final phase is the death phase where the bacteria run out of nutrients and die.[110]
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Most bacteria have a single circular chromosome that can range in size from only 160,000 base pairs in the endosymbiotic bacteria Carsonella ruddii,[111] to 12,200,000 base pairs (12.2 Mbp) in the soil-dwelling bacteria Sorangium cellulosum.[112] There are many exceptions to this, for example some Streptomyces and Borrelia species contain a single linear chromosome,[113][114] while some Vibrio species contain more than one chromosome.[115] Bacteria can also contain plasmids, small extra-chromosomal molecules of DNA that may contain genes for various useful functions such as antibiotic resistance, metabolic capabilities, or various virulence factors.[116]
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Bacteria genomes usually encode a few hundred to a few thousand genes. The genes in bacterial genomes are usually a single continuous stretch of DNA and although several different types of introns do exist in bacteria, these are much rarer than in eukaryotes.[117]
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Bacteria, as asexual organisms, inherit an identical copy of the parent's genomes and are clonal. However, all bacteria can evolve by selection on changes to their genetic material DNA caused by genetic recombination or mutations. Mutations come from errors made during the replication of DNA or from exposure to mutagens. Mutation rates vary widely among different species of bacteria and even among different clones of a single species of bacteria.[118] Genetic changes in bacterial genomes come from either random mutation during replication or "stress-directed mutation", where genes involved in a particular growth-limiting process have an increased mutation rate.[119]
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Some bacteria also transfer genetic material between cells. This can occur in three main ways. First, bacteria can take up exogenous DNA from their environment, in a process called transformation.[120] Many bacteria can naturally take up DNA from the environment, while others must be chemically altered in order to induce them to take up DNA.[121] The development of competence in nature is usually associated with stressful environmental conditions, and seems to be an adaptation for facilitating repair of DNA damage in recipient cells.[122] The second way bacteria transfer genetic material is by transduction, when the integration of a bacteriophage introduces foreign DNA into the chromosome. Many types of bacteriophage exist, some simply infect and lyse their host bacteria, while others insert into the bacterial chromosome.[123] Bacteria resist phage infection through restriction modification systems that degrade foreign DNA,[124] and a system that uses CRISPR sequences to retain fragments of the genomes of phage that the bacteria have come into contact with in the past, which allows them to block virus replication through a form of RNA interference.[125][126] The third method of gene transfer is conjugation, whereby DNA is transferred through direct cell contact. In ordinary circumstances, transduction, conjugation, and transformation involve transfer of DNA between individual bacteria of the same species, but occasionally transfer may occur between individuals of different bacterial species and this may have significant consequences, such as the transfer of antibiotic resistance.[127][128] In such cases, gene acquisition from other bacteria or the environment is called horizontal gene transfer and may be common under natural conditions.[129]
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Many bacteria are motile (able to move themselves) and do so using a variety of mechanisms. The best studied of these are flagella, long filaments that are turned by a motor at the base to generate propeller-like movement.[130] The bacterial flagellum is made of about 20 proteins, with approximately another 30 proteins required for its regulation and assembly.[130] The flagellum is a rotating structure driven by a reversible motor at the base that uses the electrochemical gradient across the membrane for power.[131]
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Bacteria can use flagella in different ways to generate different kinds of movement. Many bacteria (such as E. coli) have two distinct modes of movement: forward movement (swimming) and tumbling. The tumbling allows them to reorient and makes their movement a three-dimensional random walk.[132] Bacterial species differ in the number and arrangement of flagella on their surface; some have a single flagellum (monotrichous), a flagellum at each end (amphitrichous), clusters of flagella at the poles of the cell (lophotrichous), while others have flagella distributed over the entire surface of the cell (peritrichous). The flagella of a unique group of bacteria, the spirochaetes, are found between two membranes in the periplasmic space. They have a distinctive helical body that twists about as it moves.[130]
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Two other types of bacterial motion are called twitching motility that relies on a structure called the type IV pilus,[133] and gliding motility, that uses other mechanisms. In twitching motility, the rod-like pilus extends out from the cell, binds some substrate, and then retracts, pulling the cell forward.[134]
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Motile bacteria are attracted or repelled by certain stimuli in behaviours called taxes: these include chemotaxis, phototaxis, energy taxis, and magnetotaxis.[135][136][137] In one peculiar group, the myxobacteria, individual bacteria move together to form waves of cells that then differentiate to form fruiting bodies containing spores.[41] The myxobacteria move only when on solid surfaces, unlike E. coli, which is motile in liquid or solid media.[138]
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Several Listeria and Shigella species move inside host cells by usurping the cytoskeleton, which is normally used to move organelles inside the cell. By promoting actin polymerisation at one pole of their cells, they can form a kind of tail that pushes them through the host cell's cytoplasm.[139]
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A few bacteria have chemical systems that generate light. This bioluminescence often occurs in bacteria that live in association with fish, and the light probably serves to attract fish or other large animals.[140]
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Bacteria often function as multicellular aggregates known as biofilms, exchanging a variety of molecular signals for inter-cell communication, and engaging in coordinated multicellular behaviour.[141][142]
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The communal benefits of multicellular cooperation include a cellular division of labour, accessing resources that cannot effectively be used by single cells, collectively defending against antagonists, and optimising population survival by differentiating into distinct cell types.[141] For example, bacteria in biofilms can have more than 500 times increased resistance to antibacterial agents than individual "planktonic" bacteria of the same species.[142]
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One type of inter-cellular communication by a molecular signal is called quorum sensing, which serves the purpose of determining whether there is a local population density that is sufficiently high that it is productive to invest in processes that are only successful if large numbers of similar organisms behave similarly, as in excreting digestive enzymes or emitting light.[143][144]
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Quorum sensing allows bacteria to coordinate gene expression, and enables them to produce, release and detect autoinducers or pheromones which accumulate with the growth in cell population.[145]
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Classification seeks to describe the diversity of bacterial species by naming and grouping organisms based on similarities. Bacteria can be classified on the basis of cell structure, cellular metabolism or on differences in cell components, such as DNA, fatty acids, pigments, antigens and quinones.[103] While these schemes allowed the identification and classification of bacterial strains, it was unclear whether these differences represented variation between distinct species or between strains of the same species. This uncertainty was due to the lack of distinctive structures in most bacteria, as well as lateral gene transfer between unrelated species.[147] Due to lateral gene transfer, some closely related bacteria can have very different morphologies and metabolisms. To overcome this uncertainty, modern bacterial classification emphasises molecular systematics, using genetic techniques such as guanine cytosine ratio determination, genome-genome hybridisation, as well as sequencing genes that have not undergone extensive lateral gene transfer, such as the rRNA gene.[148] Classification of bacteria is determined by publication in the International Journal of Systematic Bacteriology,[149] and Bergey's Manual of Systematic Bacteriology.[150] The International Committee on Systematic Bacteriology (ICSB) maintains international rules for the naming of bacteria and taxonomic categories and for the ranking of them in the International Code of Nomenclature of Bacteria.[151]
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The term "bacteria" was traditionally applied to all microscopic, single-cell prokaryotes. However, molecular systematics showed prokaryotic life to consist of two separate domains, originally called Eubacteria and Archaebacteria, but now called Bacteria and Archaea that evolved independently from an ancient common ancestor.[1] The archaea and eukaryotes are more closely related to each other than either is to the bacteria. These two domains, along with Eukarya, are the basis of the three-domain system, which is currently the most widely used classification system in microbiology.[152] However, due to the relatively recent introduction of molecular systematics and a rapid increase in the number of genome sequences that are available, bacterial classification remains a changing and expanding field.[153][154] For example, Cavalier-Smith argued that the Archaea and Eukaryotes evolved from Gram-positive bacteria.[155]
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The identification of bacteria in the laboratory is particularly relevant in medicine, where the correct treatment is determined by the bacterial species causing an infection. Consequently, the need to identify human pathogens was a major impetus for the development of techniques to identify bacteria.[156]
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The Gram stain, developed in 1884 by Hans Christian Gram, characterises bacteria based on the structural characteristics of their cell walls.[66] The thick layers of peptidoglycan in the "Gram-positive" cell wall stain purple, while the thin "Gram-negative" cell wall appears pink. By combining morphology and Gram-staining, most bacteria can be classified as belonging to one of four groups (Gram-positive cocci, Gram-positive bacilli, Gram-negative cocci and Gram-negative bacilli). Some organisms are best identified by stains other than the Gram stain, particularly mycobacteria or Nocardia, which show acid-fastness on Ziehl–Neelsen or similar stains.[157] Other organisms may need to be identified by their growth in special media, or by other techniques, such as serology.[158]
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Culture techniques are designed to promote the growth and identify particular bacteria, while restricting the growth of the other bacteria in the sample. Often these techniques are designed for specific specimens; for example, a sputum sample will be treated to identify organisms that cause pneumonia, while stool specimens are cultured on selective media to identify organisms that cause diarrhoea, while preventing growth of non-pathogenic bacteria. Specimens that are normally sterile, such as blood, urine or spinal fluid, are cultured under conditions designed to grow all possible organisms.[103][159] Once a pathogenic organism has been isolated, it can be further characterised by its morphology, growth patterns (such as aerobic or anaerobic growth), patterns of hemolysis, and staining.[160]
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As with bacterial classification, identification of bacteria is increasingly using molecular methods. Diagnostics using DNA-based tools, such as polymerase chain reaction, are increasingly popular due to their specificity and speed, compared to culture-based methods.[161] These methods also allow the detection and identification of "viable but nonculturable" cells that are metabolically active but non-dividing.[162] However, even using these improved methods, the total number of bacterial species is not known and cannot even be estimated with any certainty. Following present classification, there are a little less than 9,300 known species of prokaryotes, which includes bacteria and archaea;[163] but attempts to estimate the true number of bacterial diversity have ranged from 107 to 109 total species—and even these diverse estimates may be off by many orders of magnitude.[164][165]
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Despite their apparent simplicity, bacteria can form complex associations with other organisms. These symbiotic associations can be divided into parasitism, mutualism and commensalism. Due to their small size, commensal bacteria are ubiquitous and grow on animals and plants exactly as they will grow on any other surface. However, their growth can be increased by warmth and sweat, and large populations of these organisms in humans are the cause of body odour.[167]
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Some species of bacteria kill and then consume other microorganisms, these species are called predatory bacteria.[168] These include organisms such as Myxococcus xanthus, which forms swarms of cells that kill and digest any bacteria they encounter.[169] Other bacterial predators either attach to their prey in order to digest them and absorb nutrients, such as Vampirovibrio chlorellavorus,[170] or invade another cell and multiply inside the cytosol, such as Daptobacter.[171] These predatory bacteria are thought to have evolved from saprophages that consumed dead microorganisms, through adaptations that allowed them to entrap and kill other organisms.[172]
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Certain bacteria form close spatial associations that are essential for their survival. One such mutualistic association, called interspecies hydrogen transfer, occurs between clusters of anaerobic bacteria that consume organic acids, such as butyric acid or propionic acid, and produce hydrogen, and methanogenic Archaea that consume hydrogen.[173] The bacteria in this association are unable to consume the organic acids as this reaction produces hydrogen that accumulates in their surroundings. Only the intimate association with the hydrogen-consuming Archaea keeps the hydrogen concentration low enough to allow the bacteria to grow.[174]
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In soil, microorganisms that reside in the rhizosphere (a zone that includes the root surface and the soil that adheres to the root after gentle shaking) carry out nitrogen fixation, converting nitrogen gas to nitrogenous compounds.[175] This serves to provide an easily absorbable form of nitrogen for many plants, which cannot fix nitrogen themselves. Many other bacteria are found as symbionts in humans and other organisms. For example, the presence of over 1,000 bacterial species in the normal human gut flora of the intestines can contribute to gut immunity, synthesise vitamins, such as folic acid, vitamin K and biotin, convert sugars to lactic acid (see Lactobacillus), as well as fermenting complex undigestible carbohydrates.[176][177][178] The presence of this gut flora also inhibits the growth of potentially pathogenic bacteria (usually through competitive exclusion) and these beneficial bacteria are consequently sold as probiotic dietary supplements.[179]
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If bacteria form a parasitic association with other organisms, they are classed as pathogens. Pathogenic bacteria are a major cause of human death and disease and cause infections such as tetanus (Caused by Clostridium tetani), typhoid fever, diphtheria, syphilis, cholera, foodborne illness, leprosy (caused by Micobacterium leprae) and tuberculosis (Caused by Mycobacterium tuberculosis). A pathogenic cause for a known medical disease may only be discovered many years after, as was the case with Helicobacter pylori and peptic ulcer disease. Bacterial diseases are also important in agriculture, with bacteria causing leaf spot, fire blight and wilts in plants, as well as Johne's disease, mastitis, salmonella and anthrax in farm animals.[180]
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Each species of pathogen has a characteristic spectrum of interactions with its human hosts. Some organisms, such as Staphylococcus or Streptococcus, can cause skin infections, pneumonia, meningitis and even overwhelming sepsis, a systemic inflammatory response producing shock, massive vasodilation and death.[181] Yet these organisms are also part of the normal human flora and usually exist on the skin or in the nose without causing any disease at all. Other organisms invariably cause disease in humans, such as the Rickettsia, which are obligate intracellular parasites able to grow and reproduce only within the cells of other organisms. One species of Rickettsia causes typhus, while another causes Rocky Mountain spotted fever. Chlamydia, another phylum of obligate intracellular parasites, contains species that can cause pneumonia, or urinary tract infection and may be involved in coronary heart disease.[182] Finally, some species, such as Pseudomonas aeruginosa, Burkholderia cenocepacia, and Mycobacterium avium, are opportunistic pathogens and cause disease mainly in people suffering from immunosuppression or cystic fibrosis.[183][184]
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Bacterial infections may be treated with antibiotics, which are classified as bacteriocidal if they kill bacteria, or bacteriostatic if they just prevent bacterial growth. There are many types of antibiotics and each class inhibits a process that is different in the pathogen from that found in the host. An example of how antibiotics produce selective toxicity are chloramphenicol and puromycin, which inhibit the bacterial ribosome, but not the structurally different eukaryotic ribosome.[185] Antibiotics are used both in treating human disease and in intensive farming to promote animal growth, where they may be contributing to the rapid development of antibiotic resistance in bacterial populations.[186] Infections can be prevented by antiseptic measures such as sterilising the skin prior to piercing it with the needle of a syringe, and by proper care of indwelling catheters. Surgical and dental instruments are also sterilised to prevent contamination by bacteria. Disinfectants such as bleach are used to kill bacteria or other pathogens on surfaces to prevent contamination and further reduce the risk of infection.[187]
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Bacteria, often lactic acid bacteria, such as Lactobacillus and Lactococcus, in combination with yeasts and moulds, have been used for thousands of years in the preparation of fermented foods, such as cheese, pickles, soy sauce, sauerkraut, vinegar, wine and yogurt.[188][189]
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The ability of bacteria to degrade a variety of organic compounds is remarkable and has been used in waste processing and bioremediation. Bacteria capable of digesting the hydrocarbons in petroleum are often used to clean up oil spills.[190] Fertiliser was added to some of the beaches in Prince William Sound in an attempt to promote the growth of these naturally occurring bacteria after the 1989 Exxon Valdez oil spill. These efforts were effective on beaches that were not too thickly covered in oil. Bacteria are also used for the bioremediation of industrial toxic wastes.[191] In the chemical industry, bacteria are most important in the production of enantiomerically pure chemicals for use as pharmaceuticals or agrichemicals.[192]
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Bacteria can also be used in the place of pesticides in the biological pest control. This commonly involves Bacillus thuringiensis (also called BT), a Gram-positive, soil dwelling bacterium. Subspecies of this bacteria are used as a Lepidopteran-specific insecticides under trade names such as Dipel and Thuricide.[193] Because of their specificity, these pesticides are regarded as environmentally friendly, with little or no effect on humans, wildlife, pollinators and most other beneficial insects.[194][195]
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Because of their ability to quickly grow and the relative ease with which they can be manipulated, bacteria are the workhorses for the fields of molecular biology, genetics and biochemistry. By making mutations in bacterial DNA and examining the resulting phenotypes, scientists can determine the function of genes, enzymes and metabolic pathways in bacteria, then apply this knowledge to more complex organisms.[196] This aim of understanding the biochemistry of a cell reaches its most complex expression in the synthesis of huge amounts of enzyme kinetic and gene expression data into mathematical models of entire organisms. This is achievable in some well-studied bacteria, with models of Escherichia coli metabolism now being produced and tested.[197][198] This understanding of bacterial metabolism and genetics allows the use of biotechnology to bioengineer bacteria for the production of therapeutic proteins, such as insulin, growth factors, or antibodies.[199][200]
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Because of their importance for research in general, samples of bacterial strains are isolated and preserved in Biological Resource Centers. This ensures the availability of the strain to scientists worldwide.[201]
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Bacteria were first observed by the Dutch microscopist Antonie van Leeuwenhoek in 1676, using a single-lens microscope of his own design.[202] He then published his observations in a series of letters to the Royal Society of London.[203][204][205] Bacteria were Leeuwenhoek's most remarkable microscopic discovery. They were just at the limit of what his simple lenses could make out and, in one of the most striking hiatuses in the history of science, no one else would see them again for over a century.[206] His observations had also included protozoans which he called animalcules, and his findings were looked at again in the light of the more recent findings of cell theory.[207]
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Christian Gottfried Ehrenberg introduced the word "bacterium" in 1828.[208] In fact, his Bacterium was a genus that contained non-spore-forming rod-shaped bacteria,[209] as opposed to Bacillus, a genus of spore-forming rod-shaped bacteria defined by Ehrenberg in 1835.[210]
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Louis Pasteur demonstrated in 1859 that the growth of microorganisms causes the fermentation process, and that this growth is not due to spontaneous generation (yeasts and molds, commonly associated with fermentation, are not bacteria, but rather fungi). Along with his contemporary Robert Koch, Pasteur was an early advocate of the germ theory of disease.[211]
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Robert Koch, a pioneer in medical microbiology, worked on cholera, anthrax and tuberculosis. In his research into tuberculosis Koch finally proved the germ theory, for which he received a Nobel Prize in 1905.[212] In Koch's postulates, he set out criteria to test if an organism is the cause of a disease, and these postulates are still used today.[213]
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Ferdinand Cohn is said to be a founder of bacteriology, studying bacteria from 1870. Cohn was the first to classify bacteria based on their morphology.[214][215]
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Though it was known in the nineteenth century that bacteria are the cause of many diseases, no effective antibacterial treatments were available.[216] In 1910, Paul Ehrlich developed the first antibiotic, by changing dyes that selectively stained Treponema pallidum—the spirochaete that causes syphilis—into compounds that selectively killed the pathogen.[217] Ehrlich had been awarded a 1908 Nobel Prize for his work on immunology, and pioneered the use of stains to detect and identify bacteria, with his work being the basis of the Gram stain and the Ziehl–Neelsen stain.[218]
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A major step forward in the study of bacteria came in 1977 when Carl Woese recognised that archaea have a separate line of evolutionary descent from bacteria.[3] This new phylogenetic taxonomy depended on the sequencing of 16S ribosomal RNA, and divided prokaryotes into two evolutionary domains, as part of the three-domain system.[1]
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The Rocky Mountains, also known as the Rockies, are a major mountain range located in western North America. The Rocky Mountains stretch 3,000 mi (4,800 km)[1] in straight-line distance from the northernmost part of British Columbia, in western Canada, to New Mexico in the Southwestern United States. The northern terminus is located in the Liard River area east of the Pacific Coast Ranges, while the southernmost point is near the Albuquerque area adjacent the Rio Grande Basin and north of the Sandia–Manzano Mountain Range. Located within the North American Cordillera, the Rockies are distinct from the Cascade Range and the Sierra Nevada, which all lie farther to the west.
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The Rocky Mountains formed 80 million to 55 million years ago during the Laramide orogeny, in which a number of plates began sliding underneath the North American plate. The angle of subduction was shallow, resulting in a broad belt of mountains running down western North America. Since then, further tectonic activity and erosion by glaciers have sculpted the Rockies into dramatic peaks and valleys. At the end of the last ice age, humans began inhabiting the mountain range. After Europeans, such as Sir Alexander Mackenzie, and Americans, such as the Lewis and Clark expedition, began exploring the range, minerals and furs drove the initial economic exploitation of the mountains, although the range itself never experienced a dense population.
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Of the 100 highest peaks in the Rocky Mountains, 78 (including the 30 highest) are located in Colorado, ten in Wyoming, six in New Mexico, three in Montana, and one in Utah. Public parks and forest lands protect much of the mountain range, and they are popular tourist destinations, especially for hiking, camping, mountaineering, fishing, hunting, mountain biking, skiing, and snowboarding.
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The name of the mountains is a translation of an Amerindian name that is closely related to Algonquian; the Cree name as-sin-wati is given as, "When seen from across the prairies, they looked like a rocky mass". The first mention of their present name by a European was in the journal of Jacques Legardeur de Saint-Pierre in 1752, where they were called "Montagnes de Roche".[2][3]
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The Rocky Mountains are often defined as stretching from the Liard River in British Columbia[4]:13 south to the headwaters of the Rio Grande in New Mexico. The Rockies vary in width from 110 to 480 kilometres (70 to 300 mi). The Rocky Mountains contain the highest peaks in central North America. The range's highest peak is Mount Elbert located in Colorado at 4,401 metres (14,440 ft) above sea level. Mount Robson in British Columbia, at 3,954 metres (12,972 ft), is the highest peak in the Canadian Rockies.
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The eastern edge of the Rockies rises dramatically above the Interior Plains of central North America, including the Sangre de Cristo Mountains of New Mexico and Colorado, the Front Range of Colorado, the Wind River Range and Big Horn Mountains of Wyoming, the Absaroka-Beartooth ranges and Rocky Mountain Front of Montana and the Clark Range of Alberta.[citation needed]
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Central ranges of the Rockies include the La Sal Range along the Utah-Colorado border, the Uinta Range of Utah and Wyoming, and the Teton Range of Wyoming and Idaho.
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The western edge of the Rockies includes ranges such as the Wasatch near Salt Lake City, the San Juan Mountains of New Mexico and Colorado, the Bitterroots along the Idaho-Montana border, and the Sawtooths in central Idaho. The Great Basin and Columbia River Plateau separate these subranges from distinct ranges further to the west. In Canada, the western edge of the Rockies is formed by the huge Rocky Mountain Trench, which runs the length of British Columbia from its beginnings in the middle Flathead River valley in western Montana to the south bank of the Liard River.[5]
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Geographers define three main groups of the Canadian Rockies: the Continental Ranges, Hart Ranges, and Muskwa Ranges. The Rockies do not extend into the Yukon or Alaska, or into central British Columbia. Other mountain ranges continue beyond the Liard River, including the Selwyn Mountains in Yukon, the Brooks Range in Alaska, but those are not part of the Rockies, though they are part of the American Cordillera.
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The Continental Divide of the Americas is located in the Rocky Mountains and designates the line at which waters flow either to the Atlantic or Pacific Oceans. Triple Divide Peak (2,440 metres (8,020 ft)) in Glacier National Park is so named because water falling on the mountain reaches not only the Atlantic and Pacific but Hudson Bay as well. Farther north in Alberta, the Athabasca and other rivers feed the basin of the Mackenzie River, which has its outlet on the Beaufort Sea of the Arctic Ocean.
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Human population is not very dense in the Rocky Mountains, with an average of four people per square kilometer and few cities with over 50,000 people. However, the human population grew rapidly in the Rocky Mountain states between 1950 and 1990. The forty-year statewide increases in population range from 35% in Montana to about 150% in Utah and Colorado. The populations of several mountain towns and communities have doubled in the last forty years. Jackson, Wyoming, increased 260%, from 1,244 to 4,472 residents, in forty years.[6]
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The rocks in the Rocky Mountains were formed before the mountains were raised by tectonic forces. The oldest rock is Precambrian metamorphic rock that forms the core of the North American continent. There is also Precambrian sedimentary argillite, dating back to 1.7 billion years ago. During the Paleozoic, western North America lay underneath a shallow sea, which deposited many kilometers of limestone and dolomite.[4]:76
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In the southern Rocky Mountains, near present-day Colorado, these ancestral rocks were disturbed by mountain building approximately 300 Ma, during the Pennsylvanian. This mountain-building produced the Ancestral Rocky Mountains. They consisted largely of Precambrian metamorphic rock forced upward through layers of the limestone laid down in the shallow sea.[7] The mountains eroded throughout the late Paleozoic and early Mesozoic, leaving extensive deposits of sedimentary rock.
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Terranes began colliding with the western edge of North America in the Mississippian (approximately 350 million years ago), causing the Antler orogeny.[8] For 270 million years, the focus of the effects of plate collisions were near the edge of the North American plate boundary, far to the west of the Rocky Mountain region.[8] It was not until 80 Ma these effects began reaching the Rockies.[9]
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The current Rocky Mountains arose in the Laramide orogeny from between 80 and 55 Ma.[9] For the Canadian Rockies, the mountain building is analogous to pushing a rug on a hardwood floor:[10]:78 the rug bunches up and forms wrinkles (mountains). In Canada, the terranes and subduction are the foot pushing the rug, the ancestral rocks are the rug, and the Canadian Shield in the middle of the continent is the hardwood floor.[10]:78
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Further south, an unusual subduction may have caused the growth of the Rocky Mountains in the United States, where the Farallon plate dove at a shallow angle below the North American plate. This low angle moved the focus of melting and mountain building much farther inland than the normal 300 to 500 kilometres (200 to 300 mi). Scientists hypothesize that the shallow angle of the subducting plate increased the friction and other interactions with the thick continental mass above it. Tremendous thrusts piled sheets of crust on top of each other, building the broad, high Rocky Mountain range.[11]
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The current southern Rockies were forced upwards through the layers of Pennsylvanian and Permian sedimentary remnants of the Ancestral Rocky Mountains.[12] Such sedimentary remnants were often tilted at steep angles along the flanks of the modern range; they are now visible in many places throughout the Rockies, and are shown along the Dakota Hogback, an early Cretaceous sandstone formation running along the eastern flank of the modern Rockies.
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Just after the Laramide orogeny, the Rockies were like Tibet: a high plateau, probably 6,000 metres (20,000 ft) above sea level. In the last sixty million years, erosion stripped away the high rocks, revealing the ancestral rocks beneath, and forming the current landscape of the Rockies.[10]:80–81
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Periods of glaciation occurred from the Pleistocene Epoch (1.8 million – 70,000 years ago) to the Holocene Epoch (fewer than 11,000 years ago). These ice ages left their mark on the Rockies, forming extensive glacial landforms, such as U-shaped valleys and cirques. Recent glacial episodes included the Bull Lake Glaciation, which began about 150,000 years ago, and the Pinedale Glaciation, which perhaps remained at full glaciation until 15,000–20,000 years ago.[13]
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All of these geological processes exposed a complex set of rocks at the surface. For example, volcanic rock from the Paleogene and Neogene periods (66 million – 2.6 million years ago) occurs in the San Juan Mountains and in other areas. Millennia of severe erosion in the Wyoming Basin transformed intermountain basins into a relatively flat terrain. The Tetons and other north-central ranges contain folded and faulted rocks of Paleozoic and Mesozoic age draped above cores of Proterozoic and Archean igneous and metamorphic rocks ranging in age from 1.2 billion (e.g., Tetons) to more than 3.3 billion years (Beartooth Mountains).[6]
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There are a wide range of environmental factors in the Rocky Mountains. The Rockies range in latitude between the Liard River in British Columbia (at 59° N) and the Rio Grande in New Mexico (at 35° N). Prairie occurs at or below 550 metres (1,800 ft), while the highest peak in the range is Mount Elbert at 4,400 metres (14,440 ft). Precipitation ranges from 250 millimetres (10 in) per year in the southern valleys[14] to 1,500 millimetres (60 in) per year locally in the northern peaks.[15] Average January temperatures can range from −7 °C (20 °F) in Prince George, British Columbia, to 6 °C (43 °F) in Trinidad, Colorado.[16] Therefore, there is not a single monolithic ecosystem for the entire Rocky Mountain Range.
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Instead, ecologists divide the Rocky Mountain into a number of biotic zones. Each zone is defined by whether it can support trees and the presence of one or more indicator species. Two zones that do not support trees are the Plains and the Alpine tundra. The Great Plains lie to the east of the Rockies and is characterized by prairie grasses (below roughly 550 metres (1,800 ft)). Alpine tundra occurs in regions above the treeline for the Rocky Mountains, which varies from 3,700 metres (12,000 ft) in New Mexico to 760 metres (2,500 ft) at the northern end of the Rocky Mountains (near the Yukon).[16]
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The USGS defines ten forested zones in the Rocky Mountains. Zones in more southern, warmer, or drier areas are defined by the presence of pinyon pines/junipers, ponderosa pines, or oaks mixed with pines. In more northern, colder, or wetter areas, zones are defined by Douglas firs, Cascadian species (such as western hemlock), lodgepole pines/quaking aspens, or firs mixed with spruce. Near treeline, zones can consist of white pines (such as whitebark pine or bristlecone pine); or a mixture of white pine, fir, and spruce that appear as shrub-like krummholz. Finally, rivers and canyons can create a unique forest zone in more arid parts of the mountain range.[6]
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The Rocky Mountains are an important habitat for a great deal of well-known wildlife, such as wolves, elk, moose, mule and white-tailed deer, pronghorn, mountain goats, bighorn sheep, badgers, black bears, grizzly bears, coyotes, lynxes, cougars, and wolverines.[6][17] For example, North America's largest herds of moose are in the Alberta–British Columbia foothills forests.
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The status of most species in the Rocky Mountains is unknown, due to incomplete information. European-American settlement of the mountains has adversely impacted native species. Examples of some species that have declined include western toads, greenback cutthroat trout, white sturgeon, white-tailed ptarmigan, trumpeter swan, and bighorn sheep. In the United States portion of the mountain range, apex predators such as grizzly bears and wolf packs had been extirpated from their original ranges, but have partially recovered due to conservation measures and reintroduction. Other recovering species include the bald eagle and the peregrine falcon.[6]
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Since the last great ice age, the Rocky Mountains were home first to indigenous peoples including the Apache, Arapaho, Bannock, Blackfoot, Cheyenne, Coeur d'Alene, Kalispel, Crow Nation, Flathead, Shoshone, Sioux, Ute, Kutenai (Ktunaxa in Canada), Sekani, Dunne-za, and others. Paleo-Indians hunted the now-extinct mammoth and ancient bison (an animal 20% larger than modern bison) in the foothills and valleys of the mountains. Like the modern tribes that followed them, Paleo-Indians probably migrated to the plains in fall and winter for bison and to the mountains in spring and summer for fish, deer, elk, roots, and berries. In Colorado, along with the crest of the Continental Divide, rock walls that Native Americans built for driving game date back 5,400–5,800 years. A growing body of scientific evidence indicates that indigenous people had significant effects on mammal populations by hunting and on vegetation patterns through deliberate burning.[6]
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Recent human history of the Rocky Mountains is one of more rapid change. The Spanish explorer Francisco Vázquez de Coronado—with a group of soldiers, missionaries, and African slaves—marched into the Rocky Mountain region from the south in 1540.[18] In 1610, the Spanish founded the city of Santa Fe, the oldest continuous seat of government in the United States, at the foot of the Rockies in present-day New Mexico. The introduction of the horse, metal tools, rifles, new diseases, and different cultures profoundly changed the Native American cultures. Native American populations were extirpated from most of their historical ranges by disease, warfare, habitat loss (eradication of the bison), and continued assaults on their culture.[6]
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In 1739, French fur traders Pierre and Paul Mallet, while journeying through the Great Plains, discovered a range of mountains at the headwaters of the Platte River, which local American Indian tribes called the "Rockies", becoming the first Europeans to report on this uncharted mountain range.[19]
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Sir Alexander MacKenzie (1764 – March 11, 1820) became the first European to cross the Rocky Mountains in 1793.[20] He found the upper reaches of the Fraser River and reached the Pacific coast of what is now Canada on July 20 of that year, completing the first recorded transcontinental crossing of North America north of Mexico.[21] He arrived at Bella Coola, British Columbia, where he first reached saltwater at South Bentinck Arm, an inlet of the Pacific Ocean.
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The Lewis and Clark Expedition (1804–1806) was the first scientific reconnaissance of the Rocky Mountains.[22] Specimens were collected for contemporary botanists, zoologists, and geologists. The expedition was said to have paved the way to (and through) the Rocky Mountains for European-Americans from the East, although Lewis and Clark met at least 11 European-American mountain men during their travels.[6]
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Mountain men, primarily French, Spanish, and British, roamed the Rocky Mountains from 1720 to 1800 seeking mineral deposits and furs. The fur-trading North West Company established Rocky Mountain House as a trading post in what is now the Rocky Mountain Foothills of present-day Alberta in 1799, and their business rivals the Hudson's Bay Company established Acton House nearby.[23] These posts served as bases for most European activity in the Canadian Rockies in the early 19th century. Among the most notable are the expeditions of David Thompson (explorer), who followed the Columbia River to the Pacific Ocean.[24] On his 1811 expedition, he camped at the junction of the Columbia River and the Snake River and erected a pole and notice claiming the area for the United Kingdom and stating the intention of the North West Company to build a fort at the site.[25]
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By the Anglo-American Convention of 1818, which established the 49th parallel north as the international boundary west from Lake of the Woods to the "Stony Mountains";[26] the UK and the USA agreed to what has since been described as "joint occupancy" of lands further west to the Pacific Ocean. Resolution of the territorial and treaty issues, the Oregon dispute, was deferred until a later time.
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In 1819, Spain ceded their rights north of the 42nd Parallel to the United States, though these rights did not include possession and also included obligations to Britain and Russia concerning their claims in the same region.
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After 1802, American fur traders and explorers ushered in the first widespread Caucasian presence in the Rockies south of the 49th parallel. The more famous of these include Americans William Henry Ashley, Jim Bridger, Kit Carson, John Colter, Thomas Fitzpatrick, Andrew Henry, and Jedediah Smith. On July 24, 1832, Benjamin Bonneville led the first wagon train across the Rocky Mountains by using South Pass in the present State of Wyoming.[6] Similarly, in the wake of Mackenzie's 1793 expedition, fur trading posts were established west of the Northern Rockies in a region of the northern Interior Plateau of British Columbia which came to be known as New Caledonia, beginning with Fort McLeod (today's community of McLeod Lake) and Fort Fraser, but ultimately focused on Stuart Lake Post (today's Fort St. James).
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Negotiations between the United Kingdom and the United States over the next few decades failed to settle upon a compromise boundary and the Oregon Dispute became important in geopolitical diplomacy between the British Empire and the new American Republic. In 1841, James Sinclair, Chief Factor of the Hudson's Bay Company, guided some 200 settlers from the Red River Colony west to bolster settlement around Fort Vancouver in an attempt to retain the Columbia District for Britain. The party crossed the Rockies into the Columbia Valley, a region of the Rocky Mountain Trench near present-day Radium Hot Springs, British Columbia, then traveled south. Despite such efforts, in 1846, Britain ceded all claim to Columbia District lands south of the 49th parallel to the United States; as resolution to the Oregon boundary dispute by the Oregon Treaty.[27]
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Thousands passed through the Rocky Mountains on the Oregon Trail beginning in the 1840s.[28] The Mormons began settling near the Great Salt Lake in 1847.[29] From 1859 to 1864, gold was discovered in Colorado, Idaho, Montana, and British Columbia, sparking several gold rushes bringing thousands of prospectors and miners to explore every mountain and canyon and to create the Rocky Mountains' first major industry. The Idaho gold rush alone produced more gold than the California and Alaska gold rushes combined and was important in the financing of the Union Army during the American Civil War. The transcontinental railroad was completed in 1869,[30] and Yellowstone National Park was established as the world's first national park in 1872.[31] Meanwhile, a transcontinental railroad in Canada was originally promised in 1871. Though political complications pushed its completion to 1885, the Canadian Pacific Railway eventually followed the Kicking Horse and Rogers Passes to the Pacific Ocean.[32] Canadian railway officials also convinced Parliament to set aside vast areas of the Canadian Rockies as Jasper, Banff, Yoho, and Waterton Lakes National Parks, laying the foundation for a tourism industry which thrives to this day. Glacier National Park (MT) was established with a similar relationship to tourism promotions by the Great Northern Railway.[33] While settlers filled the valleys and mining towns, conservation and preservation ethics began to take hold. U.S. President Harrison established several forest reserves in the Rocky Mountains in 1891–1892. In 1905, U.S. President Theodore Roosevelt extended the Medicine Bow Forest Reserve to include the area now managed as Rocky Mountain National Park. Economic development began to center on mining, forestry, agriculture, and recreation, as well as on the service industries that support them. Tents and camps became ranches and farms, forts and train stations became towns, and some towns became cities.[6]
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Economic resources of the Rocky Mountains are varied and abundant. Minerals found in the Rocky Mountains include significant deposits of copper, gold, lead, molybdenum, silver, tungsten, and zinc. The Wyoming Basin and several smaller areas contain significant reserves of coal, natural gas, oil shale, and petroleum. For example, the Climax mine, located near Leadville, Colorado, was the largest producer of molybdenum in the world. Molybdenum is used in heat-resistant steel in such things as cars and planes. The Climax mine employed over 3,000 workers. The Coeur d'Alene mine of northern Idaho produces silver, lead, and zinc. Canada's largest coal mines are near Fernie, British Columbia and Sparwood, British Columbia; additional coal mines exist near Hinton, Alberta, and in the Northern Rockies surrounding Tumbler Ridge, British Columbia.[6]
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Abandoned mines with their wakes of mine tailings and toxic wastes dot the Rocky Mountain landscape. In one major example, eighty years of zinc mining profoundly polluted the river and bank near Eagle River in north-central Colorado. High concentrations of the metal carried by spring runoff harmed algae, moss, and trout populations. An economic analysis of mining effects at this site revealed declining property values, degraded water quality, and the loss of recreational opportunities. The analysis also revealed that cleanup of the river could yield $2.3 million in additional revenue from recreation. In 1983, the former owner of the zinc mine was sued by the Colorado Attorney General for the $4.8 million cleanup costs; five years later, ecological recovery was considerable.[6][34]
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The Rocky Mountains contain several sedimentary basins that are rich in coalbed methane. Coalbed methane is natural gas that arises from coal, either through bacterial action or through exposure to high temperature. Coalbed methane supplies 7 percent of the natural gas used in the United States. The largest coalbed methane sources in the Rocky Mountains are in the San Juan Basin in New Mexico and Colorado and the Powder River Basin in Wyoming. These two basins are estimated to contain 38 trillion cubic feet of gas. Coalbed methane can be recovered by dewatering the coal bed, and separating the gas from the water; or injecting water to fracture the coal to release the gas (so-called hydraulic fracturing).[35]
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Agriculture and forestry are major industries. Agriculture includes dryland and irrigated farming and livestock grazing. Livestock are frequently moved between high-elevation summer pastures and low-elevation winter pastures, a practice known as transhumance.[6]
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Every year the scenic areas of the Rocky Mountains draw millions of tourists.[6] The main language of the Rocky Mountains is English. But there are also linguistic pockets of Spanish and indigenous languages.
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People from all over the world visit the sites to hike, camp, or engage in mountain sports.[6][36] In the summer season, examples of tourist attractions are:
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In the United States:
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In Canada, the mountain range contains these national parks:
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Glacier National Park in Montana and Waterton Lakes National Park in Alberta border each other and are collectively known as Waterton-Glacier International Peace Park
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In the winter, skiing is the main attraction, with dozens of Rocky Mountain ski areas and resorts.
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The adjacent Columbia Mountains in British Columbia contain major resorts such as Panorama and Kicking Horse, as well as Mount Revelstoke National Park and Glacier National Park.
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There are numerous provincial parks in the British Columbia Rockies, the largest and most notable being Mount Assiniboine Provincial Park, Mount Robson Provincial Park, Northern Rocky Mountains Provincial Park, Kwadacha Wilderness Provincial Park, Stone Mountain Provincial Park and Muncho Lake Provincial Park.
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Rock and roll (often written as rock & roll, rock 'n' roll, or rock 'n roll) is a genre of popular music that originated and evolved in the United States during the late 1940s and early 1950s[1][2] from musical styles such as gospel, jump blues, jazz, boogie woogie, rhythm and blues,[3] and country music.[4] While elements of what was to become rock and roll can be heard in blues records from the 1920s[5] and in country records of the 1930s,[4] the genre did not acquire its name until 1954.[6][7]
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According to journalist Greg Kot, "rock and roll" refers to a style of popular music originating in the U.S. in the 1950s prior to its development by the mid-1960s into "the more encompassing international style known as rock music, though the latter also continued to be known as rock and roll."[8] For the purpose of differentiation, this article deals with the first definition.
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In the earliest rock and roll styles, either the piano or saxophone was typically the lead instrument, but these instruments were generally replaced or supplemented by guitar in the middle to late 1950s.[9] The beat is essentially a dance rhythm[10] with an accentuated backbeat, which is almost always provided by a snare drum.[11] Classic rock and roll is usually played with one or two electric guitars (one lead, one rhythm), a double bass (string bass) or after the mid-1950s an electric bass guitar, and a drum kit.[9]
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Beyond just a musical style, rock and roll, as depicted in movies, in fan magazines, and on television, influenced lifestyles, fashion, attitudes, and language. Rock and roll may have contributed to the civil rights movement because both African American and White American teenagers enjoyed the music.[12]
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The term "rock and roll" is defined by Encyclopædia Britannica as the music that originated in the mid-1950s and later developed "into the more encompassing international style known as rock music".[8] The term is sometimes also used as synonymous with "rock music" and is defined as such in some dictionaries.[13][14]
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The phrase "rocking and rolling" originally described the movement of a ship on the ocean,[15] but by the early 20th century was used both to describe the spiritual fervor of black church rituals[16] and as a sexual analogy. Various gospel, blues and swing recordings used the phrase before it became used more frequently – but still intermittently – in the 1940s, on recordings and in reviews of what became known as "rhythm and blues" music aimed at a black audience.[16]
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In 1934, the song "Rock and Roll" by the Boswell Sisters appeared in the film Transatlantic Merry-Go-Round. In 1942, Billboard magazine columnist Maurie Orodenker started to use the term "rock-and-roll" to describe upbeat recordings such as "Rock Me" by Sister Rosetta Tharpe.[17] By 1943, the "Rock and Roll Inn" in South Merchantville, New Jersey, was established as a music venue.[18] In 1951, Cleveland, Ohio, disc jockey Alan Freed began playing this music style while popularizing the phrase to describe it.[19]
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The origins of rock and roll have been fiercely debated by commentators and historians of music.[20] There is general agreement that it arose in the Southern United States – a region that would produce most of the major early rock and roll acts – through the meeting of various influences that embodied a merging of the African musical tradition with European instrumentation.[21] The migration of many former slaves and their descendants to major urban centers such as St. Louis, Memphis, New York City, Detroit, Chicago, Cleveland, and Buffalo (See: Second Great Migration (African American)) meant that black and white residents were living in close proximity in larger numbers than ever before, and as a result heard each other's music and even began to emulate each other's fashions.[22][23] Radio stations that made white and black forms of music available to both groups, the development and spread of the gramophone record, and African-American musical styles such as jazz and swing which were taken up by white musicians, aided this process of "cultural collision".[24]
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The immediate roots of rock and roll lay in the rhythm and blues, then called "race music",[25] and country music of the 1940s and 1950s.[20] Particularly significant influences were jazz, blues, gospel, country, and folk.[20] Commentators differ in their views of which of these forms were most important and the degree to which the new music was a re-branding of African-American rhythm and blues for a white market, or a new hybrid of black and white forms.[26][27][28]
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In the 1930s, jazz, and particularly swing, both in urban-based dance bands and blues-influenced country swing (Jimmie Rodgers, Moon Mullican and other similar singers), were among the first music to present African-American sounds for a predominantly white audience.[27][29] One particularly noteworthy example of a jazz song with recognizably rock and roll elements is Big Joe Turner with pianist Pete Johnson's 1939 single Roll 'Em Pete, which is regarded as an important precursor of rock and roll.[30][31][32] The 1940s saw the increased use of blaring horns (including saxophones), shouted lyrics and boogie woogie beats in jazz-based music. During and immediately after World War II, with shortages of fuel and limitations on audiences and available personnel, large jazz bands were less economical and tended to be replaced by smaller combos, using guitars, bass and drums.[20][33] In the same period, particularly on the West Coast and in the Midwest, the development of jump blues, with its guitar riffs, prominent beats and shouted lyrics, prefigured many later developments.[20] In the documentary film Hail! Hail! Rock 'n' Roll, Keith Richards proposes that Chuck Berry developed his brand of rock and roll by transposing the familiar two-note lead line of jump blues piano directly to the electric guitar, creating what is instantly recognizable as rock guitar. Similarly, country boogie and Chicago electric blues supplied many of the elements that would be seen as characteristic of rock and roll.[20] Inspired by electric blues, Chuck Berry introduced an aggressive guitar sound to rock and roll, and established the electric guitar as its centrepiece,[34] adapting his rock band instrumentation from the basic blues band instrumentation of a lead guitar, second chord instrument, bass and drums.[35]
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Rock and roll arrived at a time of considerable technological change, soon after the development of the electric guitar, amplifier and microphone, and the 45 rpm record.[20] There were also changes in the record industry, with the rise of independent labels like Atlantic, Sun and Chess servicing niche audiences and a similar rise of radio stations that played their music.[20] It was the realization that relatively affluent white teenagers were listening to this music that led to the development of what was to be defined as rock and roll as a distinct genre.[20] Because the development of rock and roll was an evolutionary process, no single record can be identified as unambiguously "the first" rock and roll record.[36] Contenders for the title of "first rock and roll record" include Sister Rosetta Tharpe's "Strange Things Happening Every Day" (1944),[37], "That's All Right" by Arthur Crudup (1946), "The Fat Man" by Fats Domino (1949),[36] Goree Carter's "Rock Awhile" (1949),[38] Jimmy Preston's "Rock the Joint" (1949), which was later covered by Bill Haley & His Comets in 1952,[39] "Rocket 88" by Jackie Brenston and his Delta Cats (Ike Turner and his band The Kings of Rhythm), recorded by Sam Phillips for Sun Records in March 1951.[40] In terms of its wide cultural impact across society in the US and elsewhere, Bill Haley's "Rock Around the Clock",[41] recorded in April 1954 but not a commercial success until the following year, is generally recognized as an important milestone, but it was preceded by many recordings from earlier decades in which elements of rock and roll can be clearly discerned.[36][42][43]
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Other artists with early rock and roll hits included Chuck Berry, Bo Diddley, Little Richard, Jerry Lee Lewis, and Gene Vincent.[40] Chuck Berry's 1955 classic "Maybellene" in particular features a distorted electric guitar solo with warm overtones created by his small valve amplifier.[44] However, the use of distortion was predated by electric blues guitarists such as Joe Hill Louis,[45] Guitar Slim,[46] Willie Johnson of Howlin' Wolf's band,[47] and Pat Hare; the latter two also made use of distorted power chords in the early 1950s.[48] Also in 1955, Bo Diddley introduced the "Bo Diddley beat" and a unique electric guitar style,[49] influenced by African and Afro-Cuban music and in turn influencing many later artists.[50][51][52]
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"Rockabilly" usually (but not exclusively) refers to the type of rock and roll music which was played and recorded in the mid-1950s primarily by white singers such as Elvis Presley, Carl Perkins, Johnny Cash, and Jerry Lee Lewis, who drew mainly on the country roots of the music.[53][54] Elvis Presley was greatly influenced and incorporated his style of music with some of the greatest African American musicians like BB King, Chuck Berry and Fats Domino. His style of music combined with black influences created controversy during a turbulent time in history.[54] Many other popular rock and roll singers of the time, such as Fats Domino and Little Richard,[55] came out of the black rhythm and blues tradition, making the music attractive to white audiences, and are not usually classed as "rockabilly".
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Bill Flagg who is a Connecticut resident, began referring to his mix of hillbilly and rock 'n' roll music as rockabilly around 1953.[56] His song "Guitar Rock" is considered as classic rockabilly.[citation needed]
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In July 1954, Elvis Presley recorded the regional hit "That's All Right" at Sam Phillips' Sun Studio in Memphis.[57] Three months earlier, on April 12, 1954, Bill Haley & His Comets recorded "Rock Around the Clock". Although only a minor hit when first released, when used in the opening sequence of the movie Blackboard Jungle a year later, it set the rock and roll boom in motion.[41] The song became one of the biggest hits in history, and frenzied teens flocked to see Haley and the Comets perform it, causing riots in some cities. "Rock Around the Clock" was a breakthrough for both the group and for all of rock and roll music. If everything that came before laid the groundwork, "Rock Around the Clock" introduced the music to a global audience.[58]
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In 1956, the arrival of rockabilly was underlined by the success of songs like "Folsom Prison Blues" by Johnny Cash, "Blue Suede Shoes" by Perkins and the No. 1 hit "Heartbreak Hotel" by Presley.[54] For a few years it became the most commercially successful form of rock and roll. Later rockabilly acts, particularly performing songwriters like Buddy Holly, would be a major influence on British Invasion acts and particularly on the song writing of the Beatles and through them on the nature of later rock music.[59]
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Doo-wop was one of the most popular forms of 1950s rhythm and blues, often compared with rock and roll, with an emphasis on multi-part vocal harmonies and meaningless backing lyrics (from which the genre later gained its name), which were usually supported with light instrumentation.[60] Its origins were in African-American vocal groups of the 1930s and 40s, such as the Ink Spots and the Mills Brothers, who had enjoyed considerable commercial success with arrangements based on close harmonies.[61] They were followed by 1940s R&B vocal acts such as the Orioles, the Ravens and the Clovers, who injected a strong element of traditional gospel and, increasingly, the energy of jump blues.[61] By 1954, as rock and roll was beginning to emerge, a number of similar acts began to cross over from the R&B charts to mainstream success, often with added honking brass and saxophone, with the Crows, the Penguins, the El Dorados and the Turbans all scoring major hits.[61] Despite the subsequent explosion in records from doo wop acts in the later '50s, many failed to chart or were one-hit wonders. Exceptions included the Platters, with songs including "The Great Pretender" (1955)[62] and the Coasters with humorous songs like "Yakety Yak" (1958),[63] both of which ranked among the most successful rock and roll acts of the era.[61] Towards the end of the decade there were increasing numbers of white, particularly Italian-American, singers taking up Doo Wop, creating all-white groups like the Mystics and Dion and the Belmonts and racially integrated groups like the Del-Vikings and the Impalas.[61] Doo-wop would be a major influence on vocal surf music, soul and early Merseybeat, including the Beatles.[61]
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Many of the earliest white rock and roll hits were covers or partial re-writes of earlier black rhythm and blues or blues songs.[64] Through the late 1940s and early 1950s, R&B music had been gaining a stronger beat and a wilder style, with artists such as Fats Domino and Johnny Otis speeding up the tempos and increasing the backbeat to great popularity on the juke joint circuit.[65] Before the efforts of Freed and others, black music was taboo on many white-owned radio outlets, but artists and producers quickly recognized the potential of rock and roll.[66] Some of Presley's early recordings were covers of black rhythm and blues or blues songs, such as "That's All Right" (a countrified arrangement of a blues number), "Baby Let's Play House", "Lawdy Miss Clawdy" and "Hound Dog".[67] The racial lines, however, are rather more clouded by the fact that some of these R&B songs originally recorded by black artists had been written by white songwriters, such as the team of Jerry Leiber and Mike Stoller. Songwriting credits were often unreliable; many publishers, record executives, and even managers (both white and black) would insert their name as a composer in order to collect royalty checks.
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Covers were customary in the music industry at the time; it was made particularly easy by the compulsory license provision of United States copyright law (still in effect).[68] One of the first relevant successful covers was Wynonie Harris's transformation of Roy Brown's 1947 original jump blues hit "Good Rocking Tonight" into a more showy rocker[69] and the Louis Prima rocker "Oh Babe" in 1950, as well as Amos Milburn's cover of what may have been the first white rock and roll record, Hardrock Gunter's "Birmingham Bounce" in 1949.[70] The most notable trend, however, was white pop covers of black R&B numbers. The more familiar sound of these covers may have been more palatable to white audiences, there may have been an element of prejudice, but labels aimed at the white market also had much better distribution networks and were generally much more profitable.[71] Famously, Pat Boone recorded sanitized versions of songs recorded by the likes of Fats Domino, Little Richard, the Flamingos and Ivory Joe Hunter. Later, as those songs became popular, the original artists' recordings received radio play as well.[72]
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The cover versions were not necessarily straightforward imitations. For example, Bill Haley's incompletely bowdlerized cover of "Shake, Rattle and Roll" transformed Big Joe Turner's humorous and racy tale of adult love into an energetic teen dance number,[64][73] while Georgia Gibbs replaced Etta James's tough, sarcastic vocal in "Roll With Me, Henry" (covered as "Dance With Me, Henry") with a perkier vocal more appropriate for an audience unfamiliar with the song to which James's song was an answer, Hank Ballard's "Work With Me, Annie".[74] Elvis' rock and roll version of "Hound Dog", taken mainly from a version recorded by the pop band Freddie Bell and the Bellboys, was very different from the blues shouter that Big Mama Thornton had recorded four years earlier.[75][76] Other white artists who recorded cover versions of rhythm & blues songs included Gale Storm [Smiley Lewis' "I Hear You Knockin'"], the Diamonds [The Gladiolas' "Little Darlin'" and Frankie Lymon & the Teenagers' "Why Do Fools Fall in Love?"], the Crew Cuts [the Chords' "Sh-Boom" and Nappy Brown's "Don't Be Angry"], the Fountain Sisters [The Jewels' "Hearts of Stone"] and the Maguire Sisters [The Moonglows' "Sincerely"].
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Some commentators have suggested a decline of rock and roll in the late 1950s and early 1960s.[77][78] By 1959, the deaths of Buddy Holly, The Big Bopper and Ritchie Valens in a plane crash (February 1959), the departure of Elvis for service in the United States Army (March 1958), the retirement of Little Richard to become a preacher (October 1957), the scandal surrounding Jerry Lee Lewis' marriage to his thirteen-year-old cousin (May 1958), the arrest of Chuck Berry (December 1959), and the breaking of the Payola scandal implicating major figures, including Alan Freed, in bribery and corruption in promoting individual acts or songs (November 1959), gave a sense that the initial phase of rock and roll had come to an end.[79]
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During the late 1950s and early 1960s, the rawer sounds of Elvis Presley, Gene Vincent, Jerry Lee Lewis and Buddy Holly were commercially superseded by a more polished, commercial style of rock and roll. Marketing frequently emphasized the physical looks of the artist rather than the music, contributing to the successful careers of Ricky Nelson, Tommy Sands, Bobby Vee and the Philadelphia trio of Bobby Rydell, Frankie Avalon and Fabian, who all became "teen idols."[80]
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Some music historians have also pointed to important and innovative developments that built on rock and roll in this period, including multitrack recording, developed by Les Paul, the electronic treatment of sound by such innovators as Joe Meek, and the "Wall of Sound" productions of Phil Spector,[81] continued desegregation of the charts, the rise of surf music, garage rock and the Twist dance craze.[27] Surf rock in particular, noted for the use of reverb-drenched guitars, became one of the most popular forms of American rock of the 1960s.[82]
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In the 1950s, Britain was well placed to receive American rock and roll music and culture.[83] It shared a common language, had been exposed to American culture through the stationing of troops in the country, and shared many social developments, including the emergence of distinct youth sub-cultures, which in Britain included the Teddy Boys and the rockers.[84] Trad Jazz became popular, and many of its musicians were influenced by related American styles, including boogie woogie and the blues.[85] The skiffle craze, led by Lonnie Donegan, utilised amateurish versions of American folk songs and encouraged many of the subsequent generation of rock and roll, folk, R&B and beat musicians to start performing.[86] At the same time British audiences were beginning to encounter American rock and roll, initially through films including Blackboard Jungle (1955) and Rock Around the Clock (1956).[87] Both movies contained the Bill Haley & His Comets hit "Rock Around the Clock", which first entered the British charts in early 1955 – four months before it reached the US pop charts – topped the British charts later that year and again in 1956, and helped identify rock and roll with teenage delinquency.[88] American rock and roll acts such as Elvis Presley, Little Richard, Buddy Holly, Chuck Berry and Carl Perkins thereafter became major forces in the British charts.[citation needed]
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The initial response of the British music industry was to attempt to produce copies of American records, recorded with session musicians and often fronted by teen idols.[83] More grassroots British rock and rollers soon began to appear, including Wee Willie Harris and Tommy Steele.[83] During this period American Rock and Roll remained dominant; however, in 1958 Britain produced its first "authentic" rock and roll song and star, when Cliff Richard reached number 2 in the charts with "Move It".[89] At the same time, TV shows such as Six-Five Special and Oh Boy! promoted the careers of British rock and rollers like Marty Wilde and Adam Faith.[83] Cliff Richard and his backing band, the Shadows, were the most successful home grown rock and roll based acts of the era.[90] Other leading acts included Billy Fury, Joe Brown, and Johnny Kidd & the Pirates, whose 1960 hit song "Shakin' All Over" became a rock and roll standard.[83]
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As interest in rock and roll was beginning to subside in America in the late 1950s and early 1960s, it was taken up by groups in major British urban centres like Liverpool, Manchester, Birmingham, and London.[91] About the same time, a British blues scene developed, initially led by purist blues followers such as Alexis Korner and Cyril Davies who were directly inspired by American musicians such as Robert Johnson, Muddy Waters and Howlin' Wolf.[92] Many groups moved towards the beat music of rock and roll and rhythm and blues from skiffle, like the Quarrymen who became the Beatles, producing a form of rock and roll revivalism that carried them and many other groups to national success from about 1963 and to international success from 1964, known in America as the British Invasion.[93] Groups that followed the Beatles included the beat-influenced Freddie and the Dreamers, Wayne Fontana and the Mindbenders, Herman's Hermits and the Dave Clark Five.[94] Early British rhythm and blues groups with more blues influences include the Animals, the Rolling Stones, and the Yardbirds.[95]
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Rock and roll influenced lifestyles, fashion, attitudes, and language.[96] In addition, rock and roll may have contributed to the civil rights movement because both African-American and white American teens enjoyed the music.[12]
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Many early rock and roll songs dealt with issues of cars, school, dating, and clothing. The lyrics of rock and roll songs described events and conflicts that most listeners could relate to through personal experience. Topics such as sex that had generally been considered taboo began to appear in rock and roll lyrics. This new music tried to break boundaries and express emotions that people were actually feeling but had not talked about. An awakening began to take place in American youth culture.[97]
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In the crossover of African-American "race music" to a growing white youth audience, the popularization of rock and roll involved both black performers reaching a white audience and white musicians performing African-American music.[98] Rock and roll appeared at a time when racial tensions in the United States were entering a new phase, with the beginnings of the civil rights movement for desegregation, leading to the U.S. Supreme Court ruling that abolished the policy of "separate but equal" in 1954, but leaving a policy which would be extremely difficult to enforce in parts of the United States.[99] The coming together of white youth audiences and black music in rock and roll inevitably provoked strong white racist reactions within the US, with many whites condemning its breaking down of barriers based on color.[12] Many observers saw rock and roll as heralding the way for desegregation, in creating a new form of music that encouraged racial cooperation and shared experience.[100] Many authors have argued that early rock and roll was instrumental in the way both white and black teenagers identified themselves.[101]
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Several rock historians have claimed that rock and roll was one of the first music genres to define an age group.[102] It gave teenagers a sense of belonging, even when they were alone.[102] Rock and roll is often identified with the emergence of teen culture among the first baby boomer generation, who had greater relative affluence and leisure time and adopted rock and roll as part of a distinct subculture.[103] This involved not just music, absorbed via radio, record buying, jukeboxes and TV programs like American Bandstand, but also extended to film, clothes, hair, cars and motorbikes, and distinctive language. The youth culture exemplified by rock and roll was a recurring source of concern for older generations, who worried about juvenile delinquency and social rebellion, particularly because to a large extent rock and roll culture was shared by different racial and social groups.[103]
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In America, that concern was conveyed even in youth cultural artifacts such as comic books. In "There's No Romance in Rock and Roll" from True Life Romance (1956), a defiant teen dates a rock and roll-loving boy but drops him for one who likes traditional adult music—to her parents' relief.[104] In Britain, where postwar prosperity was more limited, rock and roll culture became attached to the pre-existing Teddy Boy movement, largely working class in origin, and eventually to the rockers.[84] Rock and roll has been seen as reorienting popular music toward a youth market, as in Dion and the Belmonts' "A Teenager in Love" (1960).[105]
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From its early 1950s beginnings through the early 1960s, rock and roll spawned new dance crazes[106] including the twist. Teenagers found the syncopated backbeat rhythm especially suited to reviving Big Band-era jitterbug dancing. Sock hops, school and church gym dances, and home basement dance parties became the rage, and American teens watched Dick Clark's American Bandstand to keep up on the latest dance and fashion styles.[107] From the mid-1960s on, as "rock and roll" was rebranded as "rock," later dance genres followed, leading to funk, disco, house, techno, and hip hop.[108]
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Rock and roll (often written as rock & roll, rock 'n' roll, or rock 'n roll) is a genre of popular music that originated and evolved in the United States during the late 1940s and early 1950s[1][2] from musical styles such as gospel, jump blues, jazz, boogie woogie, rhythm and blues,[3] and country music.[4] While elements of what was to become rock and roll can be heard in blues records from the 1920s[5] and in country records of the 1930s,[4] the genre did not acquire its name until 1954.[6][7]
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According to journalist Greg Kot, "rock and roll" refers to a style of popular music originating in the U.S. in the 1950s prior to its development by the mid-1960s into "the more encompassing international style known as rock music, though the latter also continued to be known as rock and roll."[8] For the purpose of differentiation, this article deals with the first definition.
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In the earliest rock and roll styles, either the piano or saxophone was typically the lead instrument, but these instruments were generally replaced or supplemented by guitar in the middle to late 1950s.[9] The beat is essentially a dance rhythm[10] with an accentuated backbeat, which is almost always provided by a snare drum.[11] Classic rock and roll is usually played with one or two electric guitars (one lead, one rhythm), a double bass (string bass) or after the mid-1950s an electric bass guitar, and a drum kit.[9]
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Beyond just a musical style, rock and roll, as depicted in movies, in fan magazines, and on television, influenced lifestyles, fashion, attitudes, and language. Rock and roll may have contributed to the civil rights movement because both African American and White American teenagers enjoyed the music.[12]
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The term "rock and roll" is defined by Encyclopædia Britannica as the music that originated in the mid-1950s and later developed "into the more encompassing international style known as rock music".[8] The term is sometimes also used as synonymous with "rock music" and is defined as such in some dictionaries.[13][14]
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The phrase "rocking and rolling" originally described the movement of a ship on the ocean,[15] but by the early 20th century was used both to describe the spiritual fervor of black church rituals[16] and as a sexual analogy. Various gospel, blues and swing recordings used the phrase before it became used more frequently – but still intermittently – in the 1940s, on recordings and in reviews of what became known as "rhythm and blues" music aimed at a black audience.[16]
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In 1934, the song "Rock and Roll" by the Boswell Sisters appeared in the film Transatlantic Merry-Go-Round. In 1942, Billboard magazine columnist Maurie Orodenker started to use the term "rock-and-roll" to describe upbeat recordings such as "Rock Me" by Sister Rosetta Tharpe.[17] By 1943, the "Rock and Roll Inn" in South Merchantville, New Jersey, was established as a music venue.[18] In 1951, Cleveland, Ohio, disc jockey Alan Freed began playing this music style while popularizing the phrase to describe it.[19]
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The origins of rock and roll have been fiercely debated by commentators and historians of music.[20] There is general agreement that it arose in the Southern United States – a region that would produce most of the major early rock and roll acts – through the meeting of various influences that embodied a merging of the African musical tradition with European instrumentation.[21] The migration of many former slaves and their descendants to major urban centers such as St. Louis, Memphis, New York City, Detroit, Chicago, Cleveland, and Buffalo (See: Second Great Migration (African American)) meant that black and white residents were living in close proximity in larger numbers than ever before, and as a result heard each other's music and even began to emulate each other's fashions.[22][23] Radio stations that made white and black forms of music available to both groups, the development and spread of the gramophone record, and African-American musical styles such as jazz and swing which were taken up by white musicians, aided this process of "cultural collision".[24]
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The immediate roots of rock and roll lay in the rhythm and blues, then called "race music",[25] and country music of the 1940s and 1950s.[20] Particularly significant influences were jazz, blues, gospel, country, and folk.[20] Commentators differ in their views of which of these forms were most important and the degree to which the new music was a re-branding of African-American rhythm and blues for a white market, or a new hybrid of black and white forms.[26][27][28]
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In the 1930s, jazz, and particularly swing, both in urban-based dance bands and blues-influenced country swing (Jimmie Rodgers, Moon Mullican and other similar singers), were among the first music to present African-American sounds for a predominantly white audience.[27][29] One particularly noteworthy example of a jazz song with recognizably rock and roll elements is Big Joe Turner with pianist Pete Johnson's 1939 single Roll 'Em Pete, which is regarded as an important precursor of rock and roll.[30][31][32] The 1940s saw the increased use of blaring horns (including saxophones), shouted lyrics and boogie woogie beats in jazz-based music. During and immediately after World War II, with shortages of fuel and limitations on audiences and available personnel, large jazz bands were less economical and tended to be replaced by smaller combos, using guitars, bass and drums.[20][33] In the same period, particularly on the West Coast and in the Midwest, the development of jump blues, with its guitar riffs, prominent beats and shouted lyrics, prefigured many later developments.[20] In the documentary film Hail! Hail! Rock 'n' Roll, Keith Richards proposes that Chuck Berry developed his brand of rock and roll by transposing the familiar two-note lead line of jump blues piano directly to the electric guitar, creating what is instantly recognizable as rock guitar. Similarly, country boogie and Chicago electric blues supplied many of the elements that would be seen as characteristic of rock and roll.[20] Inspired by electric blues, Chuck Berry introduced an aggressive guitar sound to rock and roll, and established the electric guitar as its centrepiece,[34] adapting his rock band instrumentation from the basic blues band instrumentation of a lead guitar, second chord instrument, bass and drums.[35]
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Rock and roll arrived at a time of considerable technological change, soon after the development of the electric guitar, amplifier and microphone, and the 45 rpm record.[20] There were also changes in the record industry, with the rise of independent labels like Atlantic, Sun and Chess servicing niche audiences and a similar rise of radio stations that played their music.[20] It was the realization that relatively affluent white teenagers were listening to this music that led to the development of what was to be defined as rock and roll as a distinct genre.[20] Because the development of rock and roll was an evolutionary process, no single record can be identified as unambiguously "the first" rock and roll record.[36] Contenders for the title of "first rock and roll record" include Sister Rosetta Tharpe's "Strange Things Happening Every Day" (1944),[37], "That's All Right" by Arthur Crudup (1946), "The Fat Man" by Fats Domino (1949),[36] Goree Carter's "Rock Awhile" (1949),[38] Jimmy Preston's "Rock the Joint" (1949), which was later covered by Bill Haley & His Comets in 1952,[39] "Rocket 88" by Jackie Brenston and his Delta Cats (Ike Turner and his band The Kings of Rhythm), recorded by Sam Phillips for Sun Records in March 1951.[40] In terms of its wide cultural impact across society in the US and elsewhere, Bill Haley's "Rock Around the Clock",[41] recorded in April 1954 but not a commercial success until the following year, is generally recognized as an important milestone, but it was preceded by many recordings from earlier decades in which elements of rock and roll can be clearly discerned.[36][42][43]
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Other artists with early rock and roll hits included Chuck Berry, Bo Diddley, Little Richard, Jerry Lee Lewis, and Gene Vincent.[40] Chuck Berry's 1955 classic "Maybellene" in particular features a distorted electric guitar solo with warm overtones created by his small valve amplifier.[44] However, the use of distortion was predated by electric blues guitarists such as Joe Hill Louis,[45] Guitar Slim,[46] Willie Johnson of Howlin' Wolf's band,[47] and Pat Hare; the latter two also made use of distorted power chords in the early 1950s.[48] Also in 1955, Bo Diddley introduced the "Bo Diddley beat" and a unique electric guitar style,[49] influenced by African and Afro-Cuban music and in turn influencing many later artists.[50][51][52]
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"Rockabilly" usually (but not exclusively) refers to the type of rock and roll music which was played and recorded in the mid-1950s primarily by white singers such as Elvis Presley, Carl Perkins, Johnny Cash, and Jerry Lee Lewis, who drew mainly on the country roots of the music.[53][54] Elvis Presley was greatly influenced and incorporated his style of music with some of the greatest African American musicians like BB King, Chuck Berry and Fats Domino. His style of music combined with black influences created controversy during a turbulent time in history.[54] Many other popular rock and roll singers of the time, such as Fats Domino and Little Richard,[55] came out of the black rhythm and blues tradition, making the music attractive to white audiences, and are not usually classed as "rockabilly".
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Bill Flagg who is a Connecticut resident, began referring to his mix of hillbilly and rock 'n' roll music as rockabilly around 1953.[56] His song "Guitar Rock" is considered as classic rockabilly.[citation needed]
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In July 1954, Elvis Presley recorded the regional hit "That's All Right" at Sam Phillips' Sun Studio in Memphis.[57] Three months earlier, on April 12, 1954, Bill Haley & His Comets recorded "Rock Around the Clock". Although only a minor hit when first released, when used in the opening sequence of the movie Blackboard Jungle a year later, it set the rock and roll boom in motion.[41] The song became one of the biggest hits in history, and frenzied teens flocked to see Haley and the Comets perform it, causing riots in some cities. "Rock Around the Clock" was a breakthrough for both the group and for all of rock and roll music. If everything that came before laid the groundwork, "Rock Around the Clock" introduced the music to a global audience.[58]
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In 1956, the arrival of rockabilly was underlined by the success of songs like "Folsom Prison Blues" by Johnny Cash, "Blue Suede Shoes" by Perkins and the No. 1 hit "Heartbreak Hotel" by Presley.[54] For a few years it became the most commercially successful form of rock and roll. Later rockabilly acts, particularly performing songwriters like Buddy Holly, would be a major influence on British Invasion acts and particularly on the song writing of the Beatles and through them on the nature of later rock music.[59]
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Doo-wop was one of the most popular forms of 1950s rhythm and blues, often compared with rock and roll, with an emphasis on multi-part vocal harmonies and meaningless backing lyrics (from which the genre later gained its name), which were usually supported with light instrumentation.[60] Its origins were in African-American vocal groups of the 1930s and 40s, such as the Ink Spots and the Mills Brothers, who had enjoyed considerable commercial success with arrangements based on close harmonies.[61] They were followed by 1940s R&B vocal acts such as the Orioles, the Ravens and the Clovers, who injected a strong element of traditional gospel and, increasingly, the energy of jump blues.[61] By 1954, as rock and roll was beginning to emerge, a number of similar acts began to cross over from the R&B charts to mainstream success, often with added honking brass and saxophone, with the Crows, the Penguins, the El Dorados and the Turbans all scoring major hits.[61] Despite the subsequent explosion in records from doo wop acts in the later '50s, many failed to chart or were one-hit wonders. Exceptions included the Platters, with songs including "The Great Pretender" (1955)[62] and the Coasters with humorous songs like "Yakety Yak" (1958),[63] both of which ranked among the most successful rock and roll acts of the era.[61] Towards the end of the decade there were increasing numbers of white, particularly Italian-American, singers taking up Doo Wop, creating all-white groups like the Mystics and Dion and the Belmonts and racially integrated groups like the Del-Vikings and the Impalas.[61] Doo-wop would be a major influence on vocal surf music, soul and early Merseybeat, including the Beatles.[61]
|
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Many of the earliest white rock and roll hits were covers or partial re-writes of earlier black rhythm and blues or blues songs.[64] Through the late 1940s and early 1950s, R&B music had been gaining a stronger beat and a wilder style, with artists such as Fats Domino and Johnny Otis speeding up the tempos and increasing the backbeat to great popularity on the juke joint circuit.[65] Before the efforts of Freed and others, black music was taboo on many white-owned radio outlets, but artists and producers quickly recognized the potential of rock and roll.[66] Some of Presley's early recordings were covers of black rhythm and blues or blues songs, such as "That's All Right" (a countrified arrangement of a blues number), "Baby Let's Play House", "Lawdy Miss Clawdy" and "Hound Dog".[67] The racial lines, however, are rather more clouded by the fact that some of these R&B songs originally recorded by black artists had been written by white songwriters, such as the team of Jerry Leiber and Mike Stoller. Songwriting credits were often unreliable; many publishers, record executives, and even managers (both white and black) would insert their name as a composer in order to collect royalty checks.
|
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Covers were customary in the music industry at the time; it was made particularly easy by the compulsory license provision of United States copyright law (still in effect).[68] One of the first relevant successful covers was Wynonie Harris's transformation of Roy Brown's 1947 original jump blues hit "Good Rocking Tonight" into a more showy rocker[69] and the Louis Prima rocker "Oh Babe" in 1950, as well as Amos Milburn's cover of what may have been the first white rock and roll record, Hardrock Gunter's "Birmingham Bounce" in 1949.[70] The most notable trend, however, was white pop covers of black R&B numbers. The more familiar sound of these covers may have been more palatable to white audiences, there may have been an element of prejudice, but labels aimed at the white market also had much better distribution networks and were generally much more profitable.[71] Famously, Pat Boone recorded sanitized versions of songs recorded by the likes of Fats Domino, Little Richard, the Flamingos and Ivory Joe Hunter. Later, as those songs became popular, the original artists' recordings received radio play as well.[72]
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The cover versions were not necessarily straightforward imitations. For example, Bill Haley's incompletely bowdlerized cover of "Shake, Rattle and Roll" transformed Big Joe Turner's humorous and racy tale of adult love into an energetic teen dance number,[64][73] while Georgia Gibbs replaced Etta James's tough, sarcastic vocal in "Roll With Me, Henry" (covered as "Dance With Me, Henry") with a perkier vocal more appropriate for an audience unfamiliar with the song to which James's song was an answer, Hank Ballard's "Work With Me, Annie".[74] Elvis' rock and roll version of "Hound Dog", taken mainly from a version recorded by the pop band Freddie Bell and the Bellboys, was very different from the blues shouter that Big Mama Thornton had recorded four years earlier.[75][76] Other white artists who recorded cover versions of rhythm & blues songs included Gale Storm [Smiley Lewis' "I Hear You Knockin'"], the Diamonds [The Gladiolas' "Little Darlin'" and Frankie Lymon & the Teenagers' "Why Do Fools Fall in Love?"], the Crew Cuts [the Chords' "Sh-Boom" and Nappy Brown's "Don't Be Angry"], the Fountain Sisters [The Jewels' "Hearts of Stone"] and the Maguire Sisters [The Moonglows' "Sincerely"].
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Some commentators have suggested a decline of rock and roll in the late 1950s and early 1960s.[77][78] By 1959, the deaths of Buddy Holly, The Big Bopper and Ritchie Valens in a plane crash (February 1959), the departure of Elvis for service in the United States Army (March 1958), the retirement of Little Richard to become a preacher (October 1957), the scandal surrounding Jerry Lee Lewis' marriage to his thirteen-year-old cousin (May 1958), the arrest of Chuck Berry (December 1959), and the breaking of the Payola scandal implicating major figures, including Alan Freed, in bribery and corruption in promoting individual acts or songs (November 1959), gave a sense that the initial phase of rock and roll had come to an end.[79]
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During the late 1950s and early 1960s, the rawer sounds of Elvis Presley, Gene Vincent, Jerry Lee Lewis and Buddy Holly were commercially superseded by a more polished, commercial style of rock and roll. Marketing frequently emphasized the physical looks of the artist rather than the music, contributing to the successful careers of Ricky Nelson, Tommy Sands, Bobby Vee and the Philadelphia trio of Bobby Rydell, Frankie Avalon and Fabian, who all became "teen idols."[80]
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Some music historians have also pointed to important and innovative developments that built on rock and roll in this period, including multitrack recording, developed by Les Paul, the electronic treatment of sound by such innovators as Joe Meek, and the "Wall of Sound" productions of Phil Spector,[81] continued desegregation of the charts, the rise of surf music, garage rock and the Twist dance craze.[27] Surf rock in particular, noted for the use of reverb-drenched guitars, became one of the most popular forms of American rock of the 1960s.[82]
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In the 1950s, Britain was well placed to receive American rock and roll music and culture.[83] It shared a common language, had been exposed to American culture through the stationing of troops in the country, and shared many social developments, including the emergence of distinct youth sub-cultures, which in Britain included the Teddy Boys and the rockers.[84] Trad Jazz became popular, and many of its musicians were influenced by related American styles, including boogie woogie and the blues.[85] The skiffle craze, led by Lonnie Donegan, utilised amateurish versions of American folk songs and encouraged many of the subsequent generation of rock and roll, folk, R&B and beat musicians to start performing.[86] At the same time British audiences were beginning to encounter American rock and roll, initially through films including Blackboard Jungle (1955) and Rock Around the Clock (1956).[87] Both movies contained the Bill Haley & His Comets hit "Rock Around the Clock", which first entered the British charts in early 1955 – four months before it reached the US pop charts – topped the British charts later that year and again in 1956, and helped identify rock and roll with teenage delinquency.[88] American rock and roll acts such as Elvis Presley, Little Richard, Buddy Holly, Chuck Berry and Carl Perkins thereafter became major forces in the British charts.[citation needed]
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The initial response of the British music industry was to attempt to produce copies of American records, recorded with session musicians and often fronted by teen idols.[83] More grassroots British rock and rollers soon began to appear, including Wee Willie Harris and Tommy Steele.[83] During this period American Rock and Roll remained dominant; however, in 1958 Britain produced its first "authentic" rock and roll song and star, when Cliff Richard reached number 2 in the charts with "Move It".[89] At the same time, TV shows such as Six-Five Special and Oh Boy! promoted the careers of British rock and rollers like Marty Wilde and Adam Faith.[83] Cliff Richard and his backing band, the Shadows, were the most successful home grown rock and roll based acts of the era.[90] Other leading acts included Billy Fury, Joe Brown, and Johnny Kidd & the Pirates, whose 1960 hit song "Shakin' All Over" became a rock and roll standard.[83]
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As interest in rock and roll was beginning to subside in America in the late 1950s and early 1960s, it was taken up by groups in major British urban centres like Liverpool, Manchester, Birmingham, and London.[91] About the same time, a British blues scene developed, initially led by purist blues followers such as Alexis Korner and Cyril Davies who were directly inspired by American musicians such as Robert Johnson, Muddy Waters and Howlin' Wolf.[92] Many groups moved towards the beat music of rock and roll and rhythm and blues from skiffle, like the Quarrymen who became the Beatles, producing a form of rock and roll revivalism that carried them and many other groups to national success from about 1963 and to international success from 1964, known in America as the British Invasion.[93] Groups that followed the Beatles included the beat-influenced Freddie and the Dreamers, Wayne Fontana and the Mindbenders, Herman's Hermits and the Dave Clark Five.[94] Early British rhythm and blues groups with more blues influences include the Animals, the Rolling Stones, and the Yardbirds.[95]
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Rock and roll influenced lifestyles, fashion, attitudes, and language.[96] In addition, rock and roll may have contributed to the civil rights movement because both African-American and white American teens enjoyed the music.[12]
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Many early rock and roll songs dealt with issues of cars, school, dating, and clothing. The lyrics of rock and roll songs described events and conflicts that most listeners could relate to through personal experience. Topics such as sex that had generally been considered taboo began to appear in rock and roll lyrics. This new music tried to break boundaries and express emotions that people were actually feeling but had not talked about. An awakening began to take place in American youth culture.[97]
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In the crossover of African-American "race music" to a growing white youth audience, the popularization of rock and roll involved both black performers reaching a white audience and white musicians performing African-American music.[98] Rock and roll appeared at a time when racial tensions in the United States were entering a new phase, with the beginnings of the civil rights movement for desegregation, leading to the U.S. Supreme Court ruling that abolished the policy of "separate but equal" in 1954, but leaving a policy which would be extremely difficult to enforce in parts of the United States.[99] The coming together of white youth audiences and black music in rock and roll inevitably provoked strong white racist reactions within the US, with many whites condemning its breaking down of barriers based on color.[12] Many observers saw rock and roll as heralding the way for desegregation, in creating a new form of music that encouraged racial cooperation and shared experience.[100] Many authors have argued that early rock and roll was instrumental in the way both white and black teenagers identified themselves.[101]
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Several rock historians have claimed that rock and roll was one of the first music genres to define an age group.[102] It gave teenagers a sense of belonging, even when they were alone.[102] Rock and roll is often identified with the emergence of teen culture among the first baby boomer generation, who had greater relative affluence and leisure time and adopted rock and roll as part of a distinct subculture.[103] This involved not just music, absorbed via radio, record buying, jukeboxes and TV programs like American Bandstand, but also extended to film, clothes, hair, cars and motorbikes, and distinctive language. The youth culture exemplified by rock and roll was a recurring source of concern for older generations, who worried about juvenile delinquency and social rebellion, particularly because to a large extent rock and roll culture was shared by different racial and social groups.[103]
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In America, that concern was conveyed even in youth cultural artifacts such as comic books. In "There's No Romance in Rock and Roll" from True Life Romance (1956), a defiant teen dates a rock and roll-loving boy but drops him for one who likes traditional adult music—to her parents' relief.[104] In Britain, where postwar prosperity was more limited, rock and roll culture became attached to the pre-existing Teddy Boy movement, largely working class in origin, and eventually to the rockers.[84] Rock and roll has been seen as reorienting popular music toward a youth market, as in Dion and the Belmonts' "A Teenager in Love" (1960).[105]
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From its early 1950s beginnings through the early 1960s, rock and roll spawned new dance crazes[106] including the twist. Teenagers found the syncopated backbeat rhythm especially suited to reviving Big Band-era jitterbug dancing. Sock hops, school and church gym dances, and home basement dance parties became the rage, and American teens watched Dick Clark's American Bandstand to keep up on the latest dance and fashion styles.[107] From the mid-1960s on, as "rock and roll" was rebranded as "rock," later dance genres followed, leading to funk, disco, house, techno, and hip hop.[108]
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Rock and roll (often written as rock & roll, rock 'n' roll, or rock 'n roll) is a genre of popular music that originated and evolved in the United States during the late 1940s and early 1950s[1][2] from musical styles such as gospel, jump blues, jazz, boogie woogie, rhythm and blues,[3] and country music.[4] While elements of what was to become rock and roll can be heard in blues records from the 1920s[5] and in country records of the 1930s,[4] the genre did not acquire its name until 1954.[6][7]
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According to journalist Greg Kot, "rock and roll" refers to a style of popular music originating in the U.S. in the 1950s prior to its development by the mid-1960s into "the more encompassing international style known as rock music, though the latter also continued to be known as rock and roll."[8] For the purpose of differentiation, this article deals with the first definition.
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In the earliest rock and roll styles, either the piano or saxophone was typically the lead instrument, but these instruments were generally replaced or supplemented by guitar in the middle to late 1950s.[9] The beat is essentially a dance rhythm[10] with an accentuated backbeat, which is almost always provided by a snare drum.[11] Classic rock and roll is usually played with one or two electric guitars (one lead, one rhythm), a double bass (string bass) or after the mid-1950s an electric bass guitar, and a drum kit.[9]
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Beyond just a musical style, rock and roll, as depicted in movies, in fan magazines, and on television, influenced lifestyles, fashion, attitudes, and language. Rock and roll may have contributed to the civil rights movement because both African American and White American teenagers enjoyed the music.[12]
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The term "rock and roll" is defined by Encyclopædia Britannica as the music that originated in the mid-1950s and later developed "into the more encompassing international style known as rock music".[8] The term is sometimes also used as synonymous with "rock music" and is defined as such in some dictionaries.[13][14]
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The phrase "rocking and rolling" originally described the movement of a ship on the ocean,[15] but by the early 20th century was used both to describe the spiritual fervor of black church rituals[16] and as a sexual analogy. Various gospel, blues and swing recordings used the phrase before it became used more frequently – but still intermittently – in the 1940s, on recordings and in reviews of what became known as "rhythm and blues" music aimed at a black audience.[16]
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In 1934, the song "Rock and Roll" by the Boswell Sisters appeared in the film Transatlantic Merry-Go-Round. In 1942, Billboard magazine columnist Maurie Orodenker started to use the term "rock-and-roll" to describe upbeat recordings such as "Rock Me" by Sister Rosetta Tharpe.[17] By 1943, the "Rock and Roll Inn" in South Merchantville, New Jersey, was established as a music venue.[18] In 1951, Cleveland, Ohio, disc jockey Alan Freed began playing this music style while popularizing the phrase to describe it.[19]
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The origins of rock and roll have been fiercely debated by commentators and historians of music.[20] There is general agreement that it arose in the Southern United States – a region that would produce most of the major early rock and roll acts – through the meeting of various influences that embodied a merging of the African musical tradition with European instrumentation.[21] The migration of many former slaves and their descendants to major urban centers such as St. Louis, Memphis, New York City, Detroit, Chicago, Cleveland, and Buffalo (See: Second Great Migration (African American)) meant that black and white residents were living in close proximity in larger numbers than ever before, and as a result heard each other's music and even began to emulate each other's fashions.[22][23] Radio stations that made white and black forms of music available to both groups, the development and spread of the gramophone record, and African-American musical styles such as jazz and swing which were taken up by white musicians, aided this process of "cultural collision".[24]
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The immediate roots of rock and roll lay in the rhythm and blues, then called "race music",[25] and country music of the 1940s and 1950s.[20] Particularly significant influences were jazz, blues, gospel, country, and folk.[20] Commentators differ in their views of which of these forms were most important and the degree to which the new music was a re-branding of African-American rhythm and blues for a white market, or a new hybrid of black and white forms.[26][27][28]
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In the 1930s, jazz, and particularly swing, both in urban-based dance bands and blues-influenced country swing (Jimmie Rodgers, Moon Mullican and other similar singers), were among the first music to present African-American sounds for a predominantly white audience.[27][29] One particularly noteworthy example of a jazz song with recognizably rock and roll elements is Big Joe Turner with pianist Pete Johnson's 1939 single Roll 'Em Pete, which is regarded as an important precursor of rock and roll.[30][31][32] The 1940s saw the increased use of blaring horns (including saxophones), shouted lyrics and boogie woogie beats in jazz-based music. During and immediately after World War II, with shortages of fuel and limitations on audiences and available personnel, large jazz bands were less economical and tended to be replaced by smaller combos, using guitars, bass and drums.[20][33] In the same period, particularly on the West Coast and in the Midwest, the development of jump blues, with its guitar riffs, prominent beats and shouted lyrics, prefigured many later developments.[20] In the documentary film Hail! Hail! Rock 'n' Roll, Keith Richards proposes that Chuck Berry developed his brand of rock and roll by transposing the familiar two-note lead line of jump blues piano directly to the electric guitar, creating what is instantly recognizable as rock guitar. Similarly, country boogie and Chicago electric blues supplied many of the elements that would be seen as characteristic of rock and roll.[20] Inspired by electric blues, Chuck Berry introduced an aggressive guitar sound to rock and roll, and established the electric guitar as its centrepiece,[34] adapting his rock band instrumentation from the basic blues band instrumentation of a lead guitar, second chord instrument, bass and drums.[35]
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Rock and roll arrived at a time of considerable technological change, soon after the development of the electric guitar, amplifier and microphone, and the 45 rpm record.[20] There were also changes in the record industry, with the rise of independent labels like Atlantic, Sun and Chess servicing niche audiences and a similar rise of radio stations that played their music.[20] It was the realization that relatively affluent white teenagers were listening to this music that led to the development of what was to be defined as rock and roll as a distinct genre.[20] Because the development of rock and roll was an evolutionary process, no single record can be identified as unambiguously "the first" rock and roll record.[36] Contenders for the title of "first rock and roll record" include Sister Rosetta Tharpe's "Strange Things Happening Every Day" (1944),[37], "That's All Right" by Arthur Crudup (1946), "The Fat Man" by Fats Domino (1949),[36] Goree Carter's "Rock Awhile" (1949),[38] Jimmy Preston's "Rock the Joint" (1949), which was later covered by Bill Haley & His Comets in 1952,[39] "Rocket 88" by Jackie Brenston and his Delta Cats (Ike Turner and his band The Kings of Rhythm), recorded by Sam Phillips for Sun Records in March 1951.[40] In terms of its wide cultural impact across society in the US and elsewhere, Bill Haley's "Rock Around the Clock",[41] recorded in April 1954 but not a commercial success until the following year, is generally recognized as an important milestone, but it was preceded by many recordings from earlier decades in which elements of rock and roll can be clearly discerned.[36][42][43]
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Other artists with early rock and roll hits included Chuck Berry, Bo Diddley, Little Richard, Jerry Lee Lewis, and Gene Vincent.[40] Chuck Berry's 1955 classic "Maybellene" in particular features a distorted electric guitar solo with warm overtones created by his small valve amplifier.[44] However, the use of distortion was predated by electric blues guitarists such as Joe Hill Louis,[45] Guitar Slim,[46] Willie Johnson of Howlin' Wolf's band,[47] and Pat Hare; the latter two also made use of distorted power chords in the early 1950s.[48] Also in 1955, Bo Diddley introduced the "Bo Diddley beat" and a unique electric guitar style,[49] influenced by African and Afro-Cuban music and in turn influencing many later artists.[50][51][52]
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"Rockabilly" usually (but not exclusively) refers to the type of rock and roll music which was played and recorded in the mid-1950s primarily by white singers such as Elvis Presley, Carl Perkins, Johnny Cash, and Jerry Lee Lewis, who drew mainly on the country roots of the music.[53][54] Elvis Presley was greatly influenced and incorporated his style of music with some of the greatest African American musicians like BB King, Chuck Berry and Fats Domino. His style of music combined with black influences created controversy during a turbulent time in history.[54] Many other popular rock and roll singers of the time, such as Fats Domino and Little Richard,[55] came out of the black rhythm and blues tradition, making the music attractive to white audiences, and are not usually classed as "rockabilly".
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Bill Flagg who is a Connecticut resident, began referring to his mix of hillbilly and rock 'n' roll music as rockabilly around 1953.[56] His song "Guitar Rock" is considered as classic rockabilly.[citation needed]
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In July 1954, Elvis Presley recorded the regional hit "That's All Right" at Sam Phillips' Sun Studio in Memphis.[57] Three months earlier, on April 12, 1954, Bill Haley & His Comets recorded "Rock Around the Clock". Although only a minor hit when first released, when used in the opening sequence of the movie Blackboard Jungle a year later, it set the rock and roll boom in motion.[41] The song became one of the biggest hits in history, and frenzied teens flocked to see Haley and the Comets perform it, causing riots in some cities. "Rock Around the Clock" was a breakthrough for both the group and for all of rock and roll music. If everything that came before laid the groundwork, "Rock Around the Clock" introduced the music to a global audience.[58]
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In 1956, the arrival of rockabilly was underlined by the success of songs like "Folsom Prison Blues" by Johnny Cash, "Blue Suede Shoes" by Perkins and the No. 1 hit "Heartbreak Hotel" by Presley.[54] For a few years it became the most commercially successful form of rock and roll. Later rockabilly acts, particularly performing songwriters like Buddy Holly, would be a major influence on British Invasion acts and particularly on the song writing of the Beatles and through them on the nature of later rock music.[59]
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Doo-wop was one of the most popular forms of 1950s rhythm and blues, often compared with rock and roll, with an emphasis on multi-part vocal harmonies and meaningless backing lyrics (from which the genre later gained its name), which were usually supported with light instrumentation.[60] Its origins were in African-American vocal groups of the 1930s and 40s, such as the Ink Spots and the Mills Brothers, who had enjoyed considerable commercial success with arrangements based on close harmonies.[61] They were followed by 1940s R&B vocal acts such as the Orioles, the Ravens and the Clovers, who injected a strong element of traditional gospel and, increasingly, the energy of jump blues.[61] By 1954, as rock and roll was beginning to emerge, a number of similar acts began to cross over from the R&B charts to mainstream success, often with added honking brass and saxophone, with the Crows, the Penguins, the El Dorados and the Turbans all scoring major hits.[61] Despite the subsequent explosion in records from doo wop acts in the later '50s, many failed to chart or were one-hit wonders. Exceptions included the Platters, with songs including "The Great Pretender" (1955)[62] and the Coasters with humorous songs like "Yakety Yak" (1958),[63] both of which ranked among the most successful rock and roll acts of the era.[61] Towards the end of the decade there were increasing numbers of white, particularly Italian-American, singers taking up Doo Wop, creating all-white groups like the Mystics and Dion and the Belmonts and racially integrated groups like the Del-Vikings and the Impalas.[61] Doo-wop would be a major influence on vocal surf music, soul and early Merseybeat, including the Beatles.[61]
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Many of the earliest white rock and roll hits were covers or partial re-writes of earlier black rhythm and blues or blues songs.[64] Through the late 1940s and early 1950s, R&B music had been gaining a stronger beat and a wilder style, with artists such as Fats Domino and Johnny Otis speeding up the tempos and increasing the backbeat to great popularity on the juke joint circuit.[65] Before the efforts of Freed and others, black music was taboo on many white-owned radio outlets, but artists and producers quickly recognized the potential of rock and roll.[66] Some of Presley's early recordings were covers of black rhythm and blues or blues songs, such as "That's All Right" (a countrified arrangement of a blues number), "Baby Let's Play House", "Lawdy Miss Clawdy" and "Hound Dog".[67] The racial lines, however, are rather more clouded by the fact that some of these R&B songs originally recorded by black artists had been written by white songwriters, such as the team of Jerry Leiber and Mike Stoller. Songwriting credits were often unreliable; many publishers, record executives, and even managers (both white and black) would insert their name as a composer in order to collect royalty checks.
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Covers were customary in the music industry at the time; it was made particularly easy by the compulsory license provision of United States copyright law (still in effect).[68] One of the first relevant successful covers was Wynonie Harris's transformation of Roy Brown's 1947 original jump blues hit "Good Rocking Tonight" into a more showy rocker[69] and the Louis Prima rocker "Oh Babe" in 1950, as well as Amos Milburn's cover of what may have been the first white rock and roll record, Hardrock Gunter's "Birmingham Bounce" in 1949.[70] The most notable trend, however, was white pop covers of black R&B numbers. The more familiar sound of these covers may have been more palatable to white audiences, there may have been an element of prejudice, but labels aimed at the white market also had much better distribution networks and were generally much more profitable.[71] Famously, Pat Boone recorded sanitized versions of songs recorded by the likes of Fats Domino, Little Richard, the Flamingos and Ivory Joe Hunter. Later, as those songs became popular, the original artists' recordings received radio play as well.[72]
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The cover versions were not necessarily straightforward imitations. For example, Bill Haley's incompletely bowdlerized cover of "Shake, Rattle and Roll" transformed Big Joe Turner's humorous and racy tale of adult love into an energetic teen dance number,[64][73] while Georgia Gibbs replaced Etta James's tough, sarcastic vocal in "Roll With Me, Henry" (covered as "Dance With Me, Henry") with a perkier vocal more appropriate for an audience unfamiliar with the song to which James's song was an answer, Hank Ballard's "Work With Me, Annie".[74] Elvis' rock and roll version of "Hound Dog", taken mainly from a version recorded by the pop band Freddie Bell and the Bellboys, was very different from the blues shouter that Big Mama Thornton had recorded four years earlier.[75][76] Other white artists who recorded cover versions of rhythm & blues songs included Gale Storm [Smiley Lewis' "I Hear You Knockin'"], the Diamonds [The Gladiolas' "Little Darlin'" and Frankie Lymon & the Teenagers' "Why Do Fools Fall in Love?"], the Crew Cuts [the Chords' "Sh-Boom" and Nappy Brown's "Don't Be Angry"], the Fountain Sisters [The Jewels' "Hearts of Stone"] and the Maguire Sisters [The Moonglows' "Sincerely"].
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Some commentators have suggested a decline of rock and roll in the late 1950s and early 1960s.[77][78] By 1959, the deaths of Buddy Holly, The Big Bopper and Ritchie Valens in a plane crash (February 1959), the departure of Elvis for service in the United States Army (March 1958), the retirement of Little Richard to become a preacher (October 1957), the scandal surrounding Jerry Lee Lewis' marriage to his thirteen-year-old cousin (May 1958), the arrest of Chuck Berry (December 1959), and the breaking of the Payola scandal implicating major figures, including Alan Freed, in bribery and corruption in promoting individual acts or songs (November 1959), gave a sense that the initial phase of rock and roll had come to an end.[79]
|
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+
|
45 |
+
During the late 1950s and early 1960s, the rawer sounds of Elvis Presley, Gene Vincent, Jerry Lee Lewis and Buddy Holly were commercially superseded by a more polished, commercial style of rock and roll. Marketing frequently emphasized the physical looks of the artist rather than the music, contributing to the successful careers of Ricky Nelson, Tommy Sands, Bobby Vee and the Philadelphia trio of Bobby Rydell, Frankie Avalon and Fabian, who all became "teen idols."[80]
|
46 |
+
|
47 |
+
Some music historians have also pointed to important and innovative developments that built on rock and roll in this period, including multitrack recording, developed by Les Paul, the electronic treatment of sound by such innovators as Joe Meek, and the "Wall of Sound" productions of Phil Spector,[81] continued desegregation of the charts, the rise of surf music, garage rock and the Twist dance craze.[27] Surf rock in particular, noted for the use of reverb-drenched guitars, became one of the most popular forms of American rock of the 1960s.[82]
|
48 |
+
|
49 |
+
In the 1950s, Britain was well placed to receive American rock and roll music and culture.[83] It shared a common language, had been exposed to American culture through the stationing of troops in the country, and shared many social developments, including the emergence of distinct youth sub-cultures, which in Britain included the Teddy Boys and the rockers.[84] Trad Jazz became popular, and many of its musicians were influenced by related American styles, including boogie woogie and the blues.[85] The skiffle craze, led by Lonnie Donegan, utilised amateurish versions of American folk songs and encouraged many of the subsequent generation of rock and roll, folk, R&B and beat musicians to start performing.[86] At the same time British audiences were beginning to encounter American rock and roll, initially through films including Blackboard Jungle (1955) and Rock Around the Clock (1956).[87] Both movies contained the Bill Haley & His Comets hit "Rock Around the Clock", which first entered the British charts in early 1955 – four months before it reached the US pop charts – topped the British charts later that year and again in 1956, and helped identify rock and roll with teenage delinquency.[88] American rock and roll acts such as Elvis Presley, Little Richard, Buddy Holly, Chuck Berry and Carl Perkins thereafter became major forces in the British charts.[citation needed]
|
50 |
+
|
51 |
+
The initial response of the British music industry was to attempt to produce copies of American records, recorded with session musicians and often fronted by teen idols.[83] More grassroots British rock and rollers soon began to appear, including Wee Willie Harris and Tommy Steele.[83] During this period American Rock and Roll remained dominant; however, in 1958 Britain produced its first "authentic" rock and roll song and star, when Cliff Richard reached number 2 in the charts with "Move It".[89] At the same time, TV shows such as Six-Five Special and Oh Boy! promoted the careers of British rock and rollers like Marty Wilde and Adam Faith.[83] Cliff Richard and his backing band, the Shadows, were the most successful home grown rock and roll based acts of the era.[90] Other leading acts included Billy Fury, Joe Brown, and Johnny Kidd & the Pirates, whose 1960 hit song "Shakin' All Over" became a rock and roll standard.[83]
|
52 |
+
|
53 |
+
As interest in rock and roll was beginning to subside in America in the late 1950s and early 1960s, it was taken up by groups in major British urban centres like Liverpool, Manchester, Birmingham, and London.[91] About the same time, a British blues scene developed, initially led by purist blues followers such as Alexis Korner and Cyril Davies who were directly inspired by American musicians such as Robert Johnson, Muddy Waters and Howlin' Wolf.[92] Many groups moved towards the beat music of rock and roll and rhythm and blues from skiffle, like the Quarrymen who became the Beatles, producing a form of rock and roll revivalism that carried them and many other groups to national success from about 1963 and to international success from 1964, known in America as the British Invasion.[93] Groups that followed the Beatles included the beat-influenced Freddie and the Dreamers, Wayne Fontana and the Mindbenders, Herman's Hermits and the Dave Clark Five.[94] Early British rhythm and blues groups with more blues influences include the Animals, the Rolling Stones, and the Yardbirds.[95]
|
54 |
+
|
55 |
+
Rock and roll influenced lifestyles, fashion, attitudes, and language.[96] In addition, rock and roll may have contributed to the civil rights movement because both African-American and white American teens enjoyed the music.[12]
|
56 |
+
|
57 |
+
Many early rock and roll songs dealt with issues of cars, school, dating, and clothing. The lyrics of rock and roll songs described events and conflicts that most listeners could relate to through personal experience. Topics such as sex that had generally been considered taboo began to appear in rock and roll lyrics. This new music tried to break boundaries and express emotions that people were actually feeling but had not talked about. An awakening began to take place in American youth culture.[97]
|
58 |
+
|
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+
In the crossover of African-American "race music" to a growing white youth audience, the popularization of rock and roll involved both black performers reaching a white audience and white musicians performing African-American music.[98] Rock and roll appeared at a time when racial tensions in the United States were entering a new phase, with the beginnings of the civil rights movement for desegregation, leading to the U.S. Supreme Court ruling that abolished the policy of "separate but equal" in 1954, but leaving a policy which would be extremely difficult to enforce in parts of the United States.[99] The coming together of white youth audiences and black music in rock and roll inevitably provoked strong white racist reactions within the US, with many whites condemning its breaking down of barriers based on color.[12] Many observers saw rock and roll as heralding the way for desegregation, in creating a new form of music that encouraged racial cooperation and shared experience.[100] Many authors have argued that early rock and roll was instrumental in the way both white and black teenagers identified themselves.[101]
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Several rock historians have claimed that rock and roll was one of the first music genres to define an age group.[102] It gave teenagers a sense of belonging, even when they were alone.[102] Rock and roll is often identified with the emergence of teen culture among the first baby boomer generation, who had greater relative affluence and leisure time and adopted rock and roll as part of a distinct subculture.[103] This involved not just music, absorbed via radio, record buying, jukeboxes and TV programs like American Bandstand, but also extended to film, clothes, hair, cars and motorbikes, and distinctive language. The youth culture exemplified by rock and roll was a recurring source of concern for older generations, who worried about juvenile delinquency and social rebellion, particularly because to a large extent rock and roll culture was shared by different racial and social groups.[103]
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In America, that concern was conveyed even in youth cultural artifacts such as comic books. In "There's No Romance in Rock and Roll" from True Life Romance (1956), a defiant teen dates a rock and roll-loving boy but drops him for one who likes traditional adult music—to her parents' relief.[104] In Britain, where postwar prosperity was more limited, rock and roll culture became attached to the pre-existing Teddy Boy movement, largely working class in origin, and eventually to the rockers.[84] Rock and roll has been seen as reorienting popular music toward a youth market, as in Dion and the Belmonts' "A Teenager in Love" (1960).[105]
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From its early 1950s beginnings through the early 1960s, rock and roll spawned new dance crazes[106] including the twist. Teenagers found the syncopated backbeat rhythm especially suited to reviving Big Band-era jitterbug dancing. Sock hops, school and church gym dances, and home basement dance parties became the rage, and American teens watched Dick Clark's American Bandstand to keep up on the latest dance and fashion styles.[107] From the mid-1960s on, as "rock and roll" was rebranded as "rock," later dance genres followed, leading to funk, disco, house, techno, and hip hop.[108]
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Rock and roll (often written as rock & roll, rock 'n' roll, or rock 'n roll) is a genre of popular music that originated and evolved in the United States during the late 1940s and early 1950s[1][2] from musical styles such as gospel, jump blues, jazz, boogie woogie, rhythm and blues,[3] and country music.[4] While elements of what was to become rock and roll can be heard in blues records from the 1920s[5] and in country records of the 1930s,[4] the genre did not acquire its name until 1954.[6][7]
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According to journalist Greg Kot, "rock and roll" refers to a style of popular music originating in the U.S. in the 1950s prior to its development by the mid-1960s into "the more encompassing international style known as rock music, though the latter also continued to be known as rock and roll."[8] For the purpose of differentiation, this article deals with the first definition.
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In the earliest rock and roll styles, either the piano or saxophone was typically the lead instrument, but these instruments were generally replaced or supplemented by guitar in the middle to late 1950s.[9] The beat is essentially a dance rhythm[10] with an accentuated backbeat, which is almost always provided by a snare drum.[11] Classic rock and roll is usually played with one or two electric guitars (one lead, one rhythm), a double bass (string bass) or after the mid-1950s an electric bass guitar, and a drum kit.[9]
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Beyond just a musical style, rock and roll, as depicted in movies, in fan magazines, and on television, influenced lifestyles, fashion, attitudes, and language. Rock and roll may have contributed to the civil rights movement because both African American and White American teenagers enjoyed the music.[12]
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The term "rock and roll" is defined by Encyclopædia Britannica as the music that originated in the mid-1950s and later developed "into the more encompassing international style known as rock music".[8] The term is sometimes also used as synonymous with "rock music" and is defined as such in some dictionaries.[13][14]
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The phrase "rocking and rolling" originally described the movement of a ship on the ocean,[15] but by the early 20th century was used both to describe the spiritual fervor of black church rituals[16] and as a sexual analogy. Various gospel, blues and swing recordings used the phrase before it became used more frequently – but still intermittently – in the 1940s, on recordings and in reviews of what became known as "rhythm and blues" music aimed at a black audience.[16]
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In 1934, the song "Rock and Roll" by the Boswell Sisters appeared in the film Transatlantic Merry-Go-Round. In 1942, Billboard magazine columnist Maurie Orodenker started to use the term "rock-and-roll" to describe upbeat recordings such as "Rock Me" by Sister Rosetta Tharpe.[17] By 1943, the "Rock and Roll Inn" in South Merchantville, New Jersey, was established as a music venue.[18] In 1951, Cleveland, Ohio, disc jockey Alan Freed began playing this music style while popularizing the phrase to describe it.[19]
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The origins of rock and roll have been fiercely debated by commentators and historians of music.[20] There is general agreement that it arose in the Southern United States – a region that would produce most of the major early rock and roll acts – through the meeting of various influences that embodied a merging of the African musical tradition with European instrumentation.[21] The migration of many former slaves and their descendants to major urban centers such as St. Louis, Memphis, New York City, Detroit, Chicago, Cleveland, and Buffalo (See: Second Great Migration (African American)) meant that black and white residents were living in close proximity in larger numbers than ever before, and as a result heard each other's music and even began to emulate each other's fashions.[22][23] Radio stations that made white and black forms of music available to both groups, the development and spread of the gramophone record, and African-American musical styles such as jazz and swing which were taken up by white musicians, aided this process of "cultural collision".[24]
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The immediate roots of rock and roll lay in the rhythm and blues, then called "race music",[25] and country music of the 1940s and 1950s.[20] Particularly significant influences were jazz, blues, gospel, country, and folk.[20] Commentators differ in their views of which of these forms were most important and the degree to which the new music was a re-branding of African-American rhythm and blues for a white market, or a new hybrid of black and white forms.[26][27][28]
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In the 1930s, jazz, and particularly swing, both in urban-based dance bands and blues-influenced country swing (Jimmie Rodgers, Moon Mullican and other similar singers), were among the first music to present African-American sounds for a predominantly white audience.[27][29] One particularly noteworthy example of a jazz song with recognizably rock and roll elements is Big Joe Turner with pianist Pete Johnson's 1939 single Roll 'Em Pete, which is regarded as an important precursor of rock and roll.[30][31][32] The 1940s saw the increased use of blaring horns (including saxophones), shouted lyrics and boogie woogie beats in jazz-based music. During and immediately after World War II, with shortages of fuel and limitations on audiences and available personnel, large jazz bands were less economical and tended to be replaced by smaller combos, using guitars, bass and drums.[20][33] In the same period, particularly on the West Coast and in the Midwest, the development of jump blues, with its guitar riffs, prominent beats and shouted lyrics, prefigured many later developments.[20] In the documentary film Hail! Hail! Rock 'n' Roll, Keith Richards proposes that Chuck Berry developed his brand of rock and roll by transposing the familiar two-note lead line of jump blues piano directly to the electric guitar, creating what is instantly recognizable as rock guitar. Similarly, country boogie and Chicago electric blues supplied many of the elements that would be seen as characteristic of rock and roll.[20] Inspired by electric blues, Chuck Berry introduced an aggressive guitar sound to rock and roll, and established the electric guitar as its centrepiece,[34] adapting his rock band instrumentation from the basic blues band instrumentation of a lead guitar, second chord instrument, bass and drums.[35]
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Rock and roll arrived at a time of considerable technological change, soon after the development of the electric guitar, amplifier and microphone, and the 45 rpm record.[20] There were also changes in the record industry, with the rise of independent labels like Atlantic, Sun and Chess servicing niche audiences and a similar rise of radio stations that played their music.[20] It was the realization that relatively affluent white teenagers were listening to this music that led to the development of what was to be defined as rock and roll as a distinct genre.[20] Because the development of rock and roll was an evolutionary process, no single record can be identified as unambiguously "the first" rock and roll record.[36] Contenders for the title of "first rock and roll record" include Sister Rosetta Tharpe's "Strange Things Happening Every Day" (1944),[37], "That's All Right" by Arthur Crudup (1946), "The Fat Man" by Fats Domino (1949),[36] Goree Carter's "Rock Awhile" (1949),[38] Jimmy Preston's "Rock the Joint" (1949), which was later covered by Bill Haley & His Comets in 1952,[39] "Rocket 88" by Jackie Brenston and his Delta Cats (Ike Turner and his band The Kings of Rhythm), recorded by Sam Phillips for Sun Records in March 1951.[40] In terms of its wide cultural impact across society in the US and elsewhere, Bill Haley's "Rock Around the Clock",[41] recorded in April 1954 but not a commercial success until the following year, is generally recognized as an important milestone, but it was preceded by many recordings from earlier decades in which elements of rock and roll can be clearly discerned.[36][42][43]
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Other artists with early rock and roll hits included Chuck Berry, Bo Diddley, Little Richard, Jerry Lee Lewis, and Gene Vincent.[40] Chuck Berry's 1955 classic "Maybellene" in particular features a distorted electric guitar solo with warm overtones created by his small valve amplifier.[44] However, the use of distortion was predated by electric blues guitarists such as Joe Hill Louis,[45] Guitar Slim,[46] Willie Johnson of Howlin' Wolf's band,[47] and Pat Hare; the latter two also made use of distorted power chords in the early 1950s.[48] Also in 1955, Bo Diddley introduced the "Bo Diddley beat" and a unique electric guitar style,[49] influenced by African and Afro-Cuban music and in turn influencing many later artists.[50][51][52]
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"Rockabilly" usually (but not exclusively) refers to the type of rock and roll music which was played and recorded in the mid-1950s primarily by white singers such as Elvis Presley, Carl Perkins, Johnny Cash, and Jerry Lee Lewis, who drew mainly on the country roots of the music.[53][54] Elvis Presley was greatly influenced and incorporated his style of music with some of the greatest African American musicians like BB King, Chuck Berry and Fats Domino. His style of music combined with black influences created controversy during a turbulent time in history.[54] Many other popular rock and roll singers of the time, such as Fats Domino and Little Richard,[55] came out of the black rhythm and blues tradition, making the music attractive to white audiences, and are not usually classed as "rockabilly".
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Bill Flagg who is a Connecticut resident, began referring to his mix of hillbilly and rock 'n' roll music as rockabilly around 1953.[56] His song "Guitar Rock" is considered as classic rockabilly.[citation needed]
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In July 1954, Elvis Presley recorded the regional hit "That's All Right" at Sam Phillips' Sun Studio in Memphis.[57] Three months earlier, on April 12, 1954, Bill Haley & His Comets recorded "Rock Around the Clock". Although only a minor hit when first released, when used in the opening sequence of the movie Blackboard Jungle a year later, it set the rock and roll boom in motion.[41] The song became one of the biggest hits in history, and frenzied teens flocked to see Haley and the Comets perform it, causing riots in some cities. "Rock Around the Clock" was a breakthrough for both the group and for all of rock and roll music. If everything that came before laid the groundwork, "Rock Around the Clock" introduced the music to a global audience.[58]
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In 1956, the arrival of rockabilly was underlined by the success of songs like "Folsom Prison Blues" by Johnny Cash, "Blue Suede Shoes" by Perkins and the No. 1 hit "Heartbreak Hotel" by Presley.[54] For a few years it became the most commercially successful form of rock and roll. Later rockabilly acts, particularly performing songwriters like Buddy Holly, would be a major influence on British Invasion acts and particularly on the song writing of the Beatles and through them on the nature of later rock music.[59]
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Doo-wop was one of the most popular forms of 1950s rhythm and blues, often compared with rock and roll, with an emphasis on multi-part vocal harmonies and meaningless backing lyrics (from which the genre later gained its name), which were usually supported with light instrumentation.[60] Its origins were in African-American vocal groups of the 1930s and 40s, such as the Ink Spots and the Mills Brothers, who had enjoyed considerable commercial success with arrangements based on close harmonies.[61] They were followed by 1940s R&B vocal acts such as the Orioles, the Ravens and the Clovers, who injected a strong element of traditional gospel and, increasingly, the energy of jump blues.[61] By 1954, as rock and roll was beginning to emerge, a number of similar acts began to cross over from the R&B charts to mainstream success, often with added honking brass and saxophone, with the Crows, the Penguins, the El Dorados and the Turbans all scoring major hits.[61] Despite the subsequent explosion in records from doo wop acts in the later '50s, many failed to chart or were one-hit wonders. Exceptions included the Platters, with songs including "The Great Pretender" (1955)[62] and the Coasters with humorous songs like "Yakety Yak" (1958),[63] both of which ranked among the most successful rock and roll acts of the era.[61] Towards the end of the decade there were increasing numbers of white, particularly Italian-American, singers taking up Doo Wop, creating all-white groups like the Mystics and Dion and the Belmonts and racially integrated groups like the Del-Vikings and the Impalas.[61] Doo-wop would be a major influence on vocal surf music, soul and early Merseybeat, including the Beatles.[61]
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Many of the earliest white rock and roll hits were covers or partial re-writes of earlier black rhythm and blues or blues songs.[64] Through the late 1940s and early 1950s, R&B music had been gaining a stronger beat and a wilder style, with artists such as Fats Domino and Johnny Otis speeding up the tempos and increasing the backbeat to great popularity on the juke joint circuit.[65] Before the efforts of Freed and others, black music was taboo on many white-owned radio outlets, but artists and producers quickly recognized the potential of rock and roll.[66] Some of Presley's early recordings were covers of black rhythm and blues or blues songs, such as "That's All Right" (a countrified arrangement of a blues number), "Baby Let's Play House", "Lawdy Miss Clawdy" and "Hound Dog".[67] The racial lines, however, are rather more clouded by the fact that some of these R&B songs originally recorded by black artists had been written by white songwriters, such as the team of Jerry Leiber and Mike Stoller. Songwriting credits were often unreliable; many publishers, record executives, and even managers (both white and black) would insert their name as a composer in order to collect royalty checks.
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Covers were customary in the music industry at the time; it was made particularly easy by the compulsory license provision of United States copyright law (still in effect).[68] One of the first relevant successful covers was Wynonie Harris's transformation of Roy Brown's 1947 original jump blues hit "Good Rocking Tonight" into a more showy rocker[69] and the Louis Prima rocker "Oh Babe" in 1950, as well as Amos Milburn's cover of what may have been the first white rock and roll record, Hardrock Gunter's "Birmingham Bounce" in 1949.[70] The most notable trend, however, was white pop covers of black R&B numbers. The more familiar sound of these covers may have been more palatable to white audiences, there may have been an element of prejudice, but labels aimed at the white market also had much better distribution networks and were generally much more profitable.[71] Famously, Pat Boone recorded sanitized versions of songs recorded by the likes of Fats Domino, Little Richard, the Flamingos and Ivory Joe Hunter. Later, as those songs became popular, the original artists' recordings received radio play as well.[72]
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The cover versions were not necessarily straightforward imitations. For example, Bill Haley's incompletely bowdlerized cover of "Shake, Rattle and Roll" transformed Big Joe Turner's humorous and racy tale of adult love into an energetic teen dance number,[64][73] while Georgia Gibbs replaced Etta James's tough, sarcastic vocal in "Roll With Me, Henry" (covered as "Dance With Me, Henry") with a perkier vocal more appropriate for an audience unfamiliar with the song to which James's song was an answer, Hank Ballard's "Work With Me, Annie".[74] Elvis' rock and roll version of "Hound Dog", taken mainly from a version recorded by the pop band Freddie Bell and the Bellboys, was very different from the blues shouter that Big Mama Thornton had recorded four years earlier.[75][76] Other white artists who recorded cover versions of rhythm & blues songs included Gale Storm [Smiley Lewis' "I Hear You Knockin'"], the Diamonds [The Gladiolas' "Little Darlin'" and Frankie Lymon & the Teenagers' "Why Do Fools Fall in Love?"], the Crew Cuts [the Chords' "Sh-Boom" and Nappy Brown's "Don't Be Angry"], the Fountain Sisters [The Jewels' "Hearts of Stone"] and the Maguire Sisters [The Moonglows' "Sincerely"].
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Some commentators have suggested a decline of rock and roll in the late 1950s and early 1960s.[77][78] By 1959, the deaths of Buddy Holly, The Big Bopper and Ritchie Valens in a plane crash (February 1959), the departure of Elvis for service in the United States Army (March 1958), the retirement of Little Richard to become a preacher (October 1957), the scandal surrounding Jerry Lee Lewis' marriage to his thirteen-year-old cousin (May 1958), the arrest of Chuck Berry (December 1959), and the breaking of the Payola scandal implicating major figures, including Alan Freed, in bribery and corruption in promoting individual acts or songs (November 1959), gave a sense that the initial phase of rock and roll had come to an end.[79]
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During the late 1950s and early 1960s, the rawer sounds of Elvis Presley, Gene Vincent, Jerry Lee Lewis and Buddy Holly were commercially superseded by a more polished, commercial style of rock and roll. Marketing frequently emphasized the physical looks of the artist rather than the music, contributing to the successful careers of Ricky Nelson, Tommy Sands, Bobby Vee and the Philadelphia trio of Bobby Rydell, Frankie Avalon and Fabian, who all became "teen idols."[80]
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Some music historians have also pointed to important and innovative developments that built on rock and roll in this period, including multitrack recording, developed by Les Paul, the electronic treatment of sound by such innovators as Joe Meek, and the "Wall of Sound" productions of Phil Spector,[81] continued desegregation of the charts, the rise of surf music, garage rock and the Twist dance craze.[27] Surf rock in particular, noted for the use of reverb-drenched guitars, became one of the most popular forms of American rock of the 1960s.[82]
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In the 1950s, Britain was well placed to receive American rock and roll music and culture.[83] It shared a common language, had been exposed to American culture through the stationing of troops in the country, and shared many social developments, including the emergence of distinct youth sub-cultures, which in Britain included the Teddy Boys and the rockers.[84] Trad Jazz became popular, and many of its musicians were influenced by related American styles, including boogie woogie and the blues.[85] The skiffle craze, led by Lonnie Donegan, utilised amateurish versions of American folk songs and encouraged many of the subsequent generation of rock and roll, folk, R&B and beat musicians to start performing.[86] At the same time British audiences were beginning to encounter American rock and roll, initially through films including Blackboard Jungle (1955) and Rock Around the Clock (1956).[87] Both movies contained the Bill Haley & His Comets hit "Rock Around the Clock", which first entered the British charts in early 1955 – four months before it reached the US pop charts – topped the British charts later that year and again in 1956, and helped identify rock and roll with teenage delinquency.[88] American rock and roll acts such as Elvis Presley, Little Richard, Buddy Holly, Chuck Berry and Carl Perkins thereafter became major forces in the British charts.[citation needed]
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The initial response of the British music industry was to attempt to produce copies of American records, recorded with session musicians and often fronted by teen idols.[83] More grassroots British rock and rollers soon began to appear, including Wee Willie Harris and Tommy Steele.[83] During this period American Rock and Roll remained dominant; however, in 1958 Britain produced its first "authentic" rock and roll song and star, when Cliff Richard reached number 2 in the charts with "Move It".[89] At the same time, TV shows such as Six-Five Special and Oh Boy! promoted the careers of British rock and rollers like Marty Wilde and Adam Faith.[83] Cliff Richard and his backing band, the Shadows, were the most successful home grown rock and roll based acts of the era.[90] Other leading acts included Billy Fury, Joe Brown, and Johnny Kidd & the Pirates, whose 1960 hit song "Shakin' All Over" became a rock and roll standard.[83]
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As interest in rock and roll was beginning to subside in America in the late 1950s and early 1960s, it was taken up by groups in major British urban centres like Liverpool, Manchester, Birmingham, and London.[91] About the same time, a British blues scene developed, initially led by purist blues followers such as Alexis Korner and Cyril Davies who were directly inspired by American musicians such as Robert Johnson, Muddy Waters and Howlin' Wolf.[92] Many groups moved towards the beat music of rock and roll and rhythm and blues from skiffle, like the Quarrymen who became the Beatles, producing a form of rock and roll revivalism that carried them and many other groups to national success from about 1963 and to international success from 1964, known in America as the British Invasion.[93] Groups that followed the Beatles included the beat-influenced Freddie and the Dreamers, Wayne Fontana and the Mindbenders, Herman's Hermits and the Dave Clark Five.[94] Early British rhythm and blues groups with more blues influences include the Animals, the Rolling Stones, and the Yardbirds.[95]
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Rock and roll influenced lifestyles, fashion, attitudes, and language.[96] In addition, rock and roll may have contributed to the civil rights movement because both African-American and white American teens enjoyed the music.[12]
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Many early rock and roll songs dealt with issues of cars, school, dating, and clothing. The lyrics of rock and roll songs described events and conflicts that most listeners could relate to through personal experience. Topics such as sex that had generally been considered taboo began to appear in rock and roll lyrics. This new music tried to break boundaries and express emotions that people were actually feeling but had not talked about. An awakening began to take place in American youth culture.[97]
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In the crossover of African-American "race music" to a growing white youth audience, the popularization of rock and roll involved both black performers reaching a white audience and white musicians performing African-American music.[98] Rock and roll appeared at a time when racial tensions in the United States were entering a new phase, with the beginnings of the civil rights movement for desegregation, leading to the U.S. Supreme Court ruling that abolished the policy of "separate but equal" in 1954, but leaving a policy which would be extremely difficult to enforce in parts of the United States.[99] The coming together of white youth audiences and black music in rock and roll inevitably provoked strong white racist reactions within the US, with many whites condemning its breaking down of barriers based on color.[12] Many observers saw rock and roll as heralding the way for desegregation, in creating a new form of music that encouraged racial cooperation and shared experience.[100] Many authors have argued that early rock and roll was instrumental in the way both white and black teenagers identified themselves.[101]
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Several rock historians have claimed that rock and roll was one of the first music genres to define an age group.[102] It gave teenagers a sense of belonging, even when they were alone.[102] Rock and roll is often identified with the emergence of teen culture among the first baby boomer generation, who had greater relative affluence and leisure time and adopted rock and roll as part of a distinct subculture.[103] This involved not just music, absorbed via radio, record buying, jukeboxes and TV programs like American Bandstand, but also extended to film, clothes, hair, cars and motorbikes, and distinctive language. The youth culture exemplified by rock and roll was a recurring source of concern for older generations, who worried about juvenile delinquency and social rebellion, particularly because to a large extent rock and roll culture was shared by different racial and social groups.[103]
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In America, that concern was conveyed even in youth cultural artifacts such as comic books. In "There's No Romance in Rock and Roll" from True Life Romance (1956), a defiant teen dates a rock and roll-loving boy but drops him for one who likes traditional adult music—to her parents' relief.[104] In Britain, where postwar prosperity was more limited, rock and roll culture became attached to the pre-existing Teddy Boy movement, largely working class in origin, and eventually to the rockers.[84] Rock and roll has been seen as reorienting popular music toward a youth market, as in Dion and the Belmonts' "A Teenager in Love" (1960).[105]
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From its early 1950s beginnings through the early 1960s, rock and roll spawned new dance crazes[106] including the twist. Teenagers found the syncopated backbeat rhythm especially suited to reviving Big Band-era jitterbug dancing. Sock hops, school and church gym dances, and home basement dance parties became the rage, and American teens watched Dick Clark's American Bandstand to keep up on the latest dance and fashion styles.[107] From the mid-1960s on, as "rock and roll" was rebranded as "rock," later dance genres followed, leading to funk, disco, house, techno, and hip hop.[108]
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Rock and roll (often written as rock & roll, rock 'n' roll, or rock 'n roll) is a genre of popular music that originated and evolved in the United States during the late 1940s and early 1950s[1][2] from musical styles such as gospel, jump blues, jazz, boogie woogie, rhythm and blues,[3] and country music.[4] While elements of what was to become rock and roll can be heard in blues records from the 1920s[5] and in country records of the 1930s,[4] the genre did not acquire its name until 1954.[6][7]
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According to journalist Greg Kot, "rock and roll" refers to a style of popular music originating in the U.S. in the 1950s prior to its development by the mid-1960s into "the more encompassing international style known as rock music, though the latter also continued to be known as rock and roll."[8] For the purpose of differentiation, this article deals with the first definition.
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In the earliest rock and roll styles, either the piano or saxophone was typically the lead instrument, but these instruments were generally replaced or supplemented by guitar in the middle to late 1950s.[9] The beat is essentially a dance rhythm[10] with an accentuated backbeat, which is almost always provided by a snare drum.[11] Classic rock and roll is usually played with one or two electric guitars (one lead, one rhythm), a double bass (string bass) or after the mid-1950s an electric bass guitar, and a drum kit.[9]
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Beyond just a musical style, rock and roll, as depicted in movies, in fan magazines, and on television, influenced lifestyles, fashion, attitudes, and language. Rock and roll may have contributed to the civil rights movement because both African American and White American teenagers enjoyed the music.[12]
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The term "rock and roll" is defined by Encyclopædia Britannica as the music that originated in the mid-1950s and later developed "into the more encompassing international style known as rock music".[8] The term is sometimes also used as synonymous with "rock music" and is defined as such in some dictionaries.[13][14]
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The phrase "rocking and rolling" originally described the movement of a ship on the ocean,[15] but by the early 20th century was used both to describe the spiritual fervor of black church rituals[16] and as a sexual analogy. Various gospel, blues and swing recordings used the phrase before it became used more frequently – but still intermittently – in the 1940s, on recordings and in reviews of what became known as "rhythm and blues" music aimed at a black audience.[16]
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In 1934, the song "Rock and Roll" by the Boswell Sisters appeared in the film Transatlantic Merry-Go-Round. In 1942, Billboard magazine columnist Maurie Orodenker started to use the term "rock-and-roll" to describe upbeat recordings such as "Rock Me" by Sister Rosetta Tharpe.[17] By 1943, the "Rock and Roll Inn" in South Merchantville, New Jersey, was established as a music venue.[18] In 1951, Cleveland, Ohio, disc jockey Alan Freed began playing this music style while popularizing the phrase to describe it.[19]
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The origins of rock and roll have been fiercely debated by commentators and historians of music.[20] There is general agreement that it arose in the Southern United States – a region that would produce most of the major early rock and roll acts – through the meeting of various influences that embodied a merging of the African musical tradition with European instrumentation.[21] The migration of many former slaves and their descendants to major urban centers such as St. Louis, Memphis, New York City, Detroit, Chicago, Cleveland, and Buffalo (See: Second Great Migration (African American)) meant that black and white residents were living in close proximity in larger numbers than ever before, and as a result heard each other's music and even began to emulate each other's fashions.[22][23] Radio stations that made white and black forms of music available to both groups, the development and spread of the gramophone record, and African-American musical styles such as jazz and swing which were taken up by white musicians, aided this process of "cultural collision".[24]
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The immediate roots of rock and roll lay in the rhythm and blues, then called "race music",[25] and country music of the 1940s and 1950s.[20] Particularly significant influences were jazz, blues, gospel, country, and folk.[20] Commentators differ in their views of which of these forms were most important and the degree to which the new music was a re-branding of African-American rhythm and blues for a white market, or a new hybrid of black and white forms.[26][27][28]
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In the 1930s, jazz, and particularly swing, both in urban-based dance bands and blues-influenced country swing (Jimmie Rodgers, Moon Mullican and other similar singers), were among the first music to present African-American sounds for a predominantly white audience.[27][29] One particularly noteworthy example of a jazz song with recognizably rock and roll elements is Big Joe Turner with pianist Pete Johnson's 1939 single Roll 'Em Pete, which is regarded as an important precursor of rock and roll.[30][31][32] The 1940s saw the increased use of blaring horns (including saxophones), shouted lyrics and boogie woogie beats in jazz-based music. During and immediately after World War II, with shortages of fuel and limitations on audiences and available personnel, large jazz bands were less economical and tended to be replaced by smaller combos, using guitars, bass and drums.[20][33] In the same period, particularly on the West Coast and in the Midwest, the development of jump blues, with its guitar riffs, prominent beats and shouted lyrics, prefigured many later developments.[20] In the documentary film Hail! Hail! Rock 'n' Roll, Keith Richards proposes that Chuck Berry developed his brand of rock and roll by transposing the familiar two-note lead line of jump blues piano directly to the electric guitar, creating what is instantly recognizable as rock guitar. Similarly, country boogie and Chicago electric blues supplied many of the elements that would be seen as characteristic of rock and roll.[20] Inspired by electric blues, Chuck Berry introduced an aggressive guitar sound to rock and roll, and established the electric guitar as its centrepiece,[34] adapting his rock band instrumentation from the basic blues band instrumentation of a lead guitar, second chord instrument, bass and drums.[35]
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Rock and roll arrived at a time of considerable technological change, soon after the development of the electric guitar, amplifier and microphone, and the 45 rpm record.[20] There were also changes in the record industry, with the rise of independent labels like Atlantic, Sun and Chess servicing niche audiences and a similar rise of radio stations that played their music.[20] It was the realization that relatively affluent white teenagers were listening to this music that led to the development of what was to be defined as rock and roll as a distinct genre.[20] Because the development of rock and roll was an evolutionary process, no single record can be identified as unambiguously "the first" rock and roll record.[36] Contenders for the title of "first rock and roll record" include Sister Rosetta Tharpe's "Strange Things Happening Every Day" (1944),[37], "That's All Right" by Arthur Crudup (1946), "The Fat Man" by Fats Domino (1949),[36] Goree Carter's "Rock Awhile" (1949),[38] Jimmy Preston's "Rock the Joint" (1949), which was later covered by Bill Haley & His Comets in 1952,[39] "Rocket 88" by Jackie Brenston and his Delta Cats (Ike Turner and his band The Kings of Rhythm), recorded by Sam Phillips for Sun Records in March 1951.[40] In terms of its wide cultural impact across society in the US and elsewhere, Bill Haley's "Rock Around the Clock",[41] recorded in April 1954 but not a commercial success until the following year, is generally recognized as an important milestone, but it was preceded by many recordings from earlier decades in which elements of rock and roll can be clearly discerned.[36][42][43]
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Other artists with early rock and roll hits included Chuck Berry, Bo Diddley, Little Richard, Jerry Lee Lewis, and Gene Vincent.[40] Chuck Berry's 1955 classic "Maybellene" in particular features a distorted electric guitar solo with warm overtones created by his small valve amplifier.[44] However, the use of distortion was predated by electric blues guitarists such as Joe Hill Louis,[45] Guitar Slim,[46] Willie Johnson of Howlin' Wolf's band,[47] and Pat Hare; the latter two also made use of distorted power chords in the early 1950s.[48] Also in 1955, Bo Diddley introduced the "Bo Diddley beat" and a unique electric guitar style,[49] influenced by African and Afro-Cuban music and in turn influencing many later artists.[50][51][52]
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"Rockabilly" usually (but not exclusively) refers to the type of rock and roll music which was played and recorded in the mid-1950s primarily by white singers such as Elvis Presley, Carl Perkins, Johnny Cash, and Jerry Lee Lewis, who drew mainly on the country roots of the music.[53][54] Elvis Presley was greatly influenced and incorporated his style of music with some of the greatest African American musicians like BB King, Chuck Berry and Fats Domino. His style of music combined with black influences created controversy during a turbulent time in history.[54] Many other popular rock and roll singers of the time, such as Fats Domino and Little Richard,[55] came out of the black rhythm and blues tradition, making the music attractive to white audiences, and are not usually classed as "rockabilly".
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Bill Flagg who is a Connecticut resident, began referring to his mix of hillbilly and rock 'n' roll music as rockabilly around 1953.[56] His song "Guitar Rock" is considered as classic rockabilly.[citation needed]
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In July 1954, Elvis Presley recorded the regional hit "That's All Right" at Sam Phillips' Sun Studio in Memphis.[57] Three months earlier, on April 12, 1954, Bill Haley & His Comets recorded "Rock Around the Clock". Although only a minor hit when first released, when used in the opening sequence of the movie Blackboard Jungle a year later, it set the rock and roll boom in motion.[41] The song became one of the biggest hits in history, and frenzied teens flocked to see Haley and the Comets perform it, causing riots in some cities. "Rock Around the Clock" was a breakthrough for both the group and for all of rock and roll music. If everything that came before laid the groundwork, "Rock Around the Clock" introduced the music to a global audience.[58]
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In 1956, the arrival of rockabilly was underlined by the success of songs like "Folsom Prison Blues" by Johnny Cash, "Blue Suede Shoes" by Perkins and the No. 1 hit "Heartbreak Hotel" by Presley.[54] For a few years it became the most commercially successful form of rock and roll. Later rockabilly acts, particularly performing songwriters like Buddy Holly, would be a major influence on British Invasion acts and particularly on the song writing of the Beatles and through them on the nature of later rock music.[59]
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Doo-wop was one of the most popular forms of 1950s rhythm and blues, often compared with rock and roll, with an emphasis on multi-part vocal harmonies and meaningless backing lyrics (from which the genre later gained its name), which were usually supported with light instrumentation.[60] Its origins were in African-American vocal groups of the 1930s and 40s, such as the Ink Spots and the Mills Brothers, who had enjoyed considerable commercial success with arrangements based on close harmonies.[61] They were followed by 1940s R&B vocal acts such as the Orioles, the Ravens and the Clovers, who injected a strong element of traditional gospel and, increasingly, the energy of jump blues.[61] By 1954, as rock and roll was beginning to emerge, a number of similar acts began to cross over from the R&B charts to mainstream success, often with added honking brass and saxophone, with the Crows, the Penguins, the El Dorados and the Turbans all scoring major hits.[61] Despite the subsequent explosion in records from doo wop acts in the later '50s, many failed to chart or were one-hit wonders. Exceptions included the Platters, with songs including "The Great Pretender" (1955)[62] and the Coasters with humorous songs like "Yakety Yak" (1958),[63] both of which ranked among the most successful rock and roll acts of the era.[61] Towards the end of the decade there were increasing numbers of white, particularly Italian-American, singers taking up Doo Wop, creating all-white groups like the Mystics and Dion and the Belmonts and racially integrated groups like the Del-Vikings and the Impalas.[61] Doo-wop would be a major influence on vocal surf music, soul and early Merseybeat, including the Beatles.[61]
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Many of the earliest white rock and roll hits were covers or partial re-writes of earlier black rhythm and blues or blues songs.[64] Through the late 1940s and early 1950s, R&B music had been gaining a stronger beat and a wilder style, with artists such as Fats Domino and Johnny Otis speeding up the tempos and increasing the backbeat to great popularity on the juke joint circuit.[65] Before the efforts of Freed and others, black music was taboo on many white-owned radio outlets, but artists and producers quickly recognized the potential of rock and roll.[66] Some of Presley's early recordings were covers of black rhythm and blues or blues songs, such as "That's All Right" (a countrified arrangement of a blues number), "Baby Let's Play House", "Lawdy Miss Clawdy" and "Hound Dog".[67] The racial lines, however, are rather more clouded by the fact that some of these R&B songs originally recorded by black artists had been written by white songwriters, such as the team of Jerry Leiber and Mike Stoller. Songwriting credits were often unreliable; many publishers, record executives, and even managers (both white and black) would insert their name as a composer in order to collect royalty checks.
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Covers were customary in the music industry at the time; it was made particularly easy by the compulsory license provision of United States copyright law (still in effect).[68] One of the first relevant successful covers was Wynonie Harris's transformation of Roy Brown's 1947 original jump blues hit "Good Rocking Tonight" into a more showy rocker[69] and the Louis Prima rocker "Oh Babe" in 1950, as well as Amos Milburn's cover of what may have been the first white rock and roll record, Hardrock Gunter's "Birmingham Bounce" in 1949.[70] The most notable trend, however, was white pop covers of black R&B numbers. The more familiar sound of these covers may have been more palatable to white audiences, there may have been an element of prejudice, but labels aimed at the white market also had much better distribution networks and were generally much more profitable.[71] Famously, Pat Boone recorded sanitized versions of songs recorded by the likes of Fats Domino, Little Richard, the Flamingos and Ivory Joe Hunter. Later, as those songs became popular, the original artists' recordings received radio play as well.[72]
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The cover versions were not necessarily straightforward imitations. For example, Bill Haley's incompletely bowdlerized cover of "Shake, Rattle and Roll" transformed Big Joe Turner's humorous and racy tale of adult love into an energetic teen dance number,[64][73] while Georgia Gibbs replaced Etta James's tough, sarcastic vocal in "Roll With Me, Henry" (covered as "Dance With Me, Henry") with a perkier vocal more appropriate for an audience unfamiliar with the song to which James's song was an answer, Hank Ballard's "Work With Me, Annie".[74] Elvis' rock and roll version of "Hound Dog", taken mainly from a version recorded by the pop band Freddie Bell and the Bellboys, was very different from the blues shouter that Big Mama Thornton had recorded four years earlier.[75][76] Other white artists who recorded cover versions of rhythm & blues songs included Gale Storm [Smiley Lewis' "I Hear You Knockin'"], the Diamonds [The Gladiolas' "Little Darlin'" and Frankie Lymon & the Teenagers' "Why Do Fools Fall in Love?"], the Crew Cuts [the Chords' "Sh-Boom" and Nappy Brown's "Don't Be Angry"], the Fountain Sisters [The Jewels' "Hearts of Stone"] and the Maguire Sisters [The Moonglows' "Sincerely"].
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Some commentators have suggested a decline of rock and roll in the late 1950s and early 1960s.[77][78] By 1959, the deaths of Buddy Holly, The Big Bopper and Ritchie Valens in a plane crash (February 1959), the departure of Elvis for service in the United States Army (March 1958), the retirement of Little Richard to become a preacher (October 1957), the scandal surrounding Jerry Lee Lewis' marriage to his thirteen-year-old cousin (May 1958), the arrest of Chuck Berry (December 1959), and the breaking of the Payola scandal implicating major figures, including Alan Freed, in bribery and corruption in promoting individual acts or songs (November 1959), gave a sense that the initial phase of rock and roll had come to an end.[79]
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During the late 1950s and early 1960s, the rawer sounds of Elvis Presley, Gene Vincent, Jerry Lee Lewis and Buddy Holly were commercially superseded by a more polished, commercial style of rock and roll. Marketing frequently emphasized the physical looks of the artist rather than the music, contributing to the successful careers of Ricky Nelson, Tommy Sands, Bobby Vee and the Philadelphia trio of Bobby Rydell, Frankie Avalon and Fabian, who all became "teen idols."[80]
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Some music historians have also pointed to important and innovative developments that built on rock and roll in this period, including multitrack recording, developed by Les Paul, the electronic treatment of sound by such innovators as Joe Meek, and the "Wall of Sound" productions of Phil Spector,[81] continued desegregation of the charts, the rise of surf music, garage rock and the Twist dance craze.[27] Surf rock in particular, noted for the use of reverb-drenched guitars, became one of the most popular forms of American rock of the 1960s.[82]
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In the 1950s, Britain was well placed to receive American rock and roll music and culture.[83] It shared a common language, had been exposed to American culture through the stationing of troops in the country, and shared many social developments, including the emergence of distinct youth sub-cultures, which in Britain included the Teddy Boys and the rockers.[84] Trad Jazz became popular, and many of its musicians were influenced by related American styles, including boogie woogie and the blues.[85] The skiffle craze, led by Lonnie Donegan, utilised amateurish versions of American folk songs and encouraged many of the subsequent generation of rock and roll, folk, R&B and beat musicians to start performing.[86] At the same time British audiences were beginning to encounter American rock and roll, initially through films including Blackboard Jungle (1955) and Rock Around the Clock (1956).[87] Both movies contained the Bill Haley & His Comets hit "Rock Around the Clock", which first entered the British charts in early 1955 – four months before it reached the US pop charts – topped the British charts later that year and again in 1956, and helped identify rock and roll with teenage delinquency.[88] American rock and roll acts such as Elvis Presley, Little Richard, Buddy Holly, Chuck Berry and Carl Perkins thereafter became major forces in the British charts.[citation needed]
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The initial response of the British music industry was to attempt to produce copies of American records, recorded with session musicians and often fronted by teen idols.[83] More grassroots British rock and rollers soon began to appear, including Wee Willie Harris and Tommy Steele.[83] During this period American Rock and Roll remained dominant; however, in 1958 Britain produced its first "authentic" rock and roll song and star, when Cliff Richard reached number 2 in the charts with "Move It".[89] At the same time, TV shows such as Six-Five Special and Oh Boy! promoted the careers of British rock and rollers like Marty Wilde and Adam Faith.[83] Cliff Richard and his backing band, the Shadows, were the most successful home grown rock and roll based acts of the era.[90] Other leading acts included Billy Fury, Joe Brown, and Johnny Kidd & the Pirates, whose 1960 hit song "Shakin' All Over" became a rock and roll standard.[83]
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As interest in rock and roll was beginning to subside in America in the late 1950s and early 1960s, it was taken up by groups in major British urban centres like Liverpool, Manchester, Birmingham, and London.[91] About the same time, a British blues scene developed, initially led by purist blues followers such as Alexis Korner and Cyril Davies who were directly inspired by American musicians such as Robert Johnson, Muddy Waters and Howlin' Wolf.[92] Many groups moved towards the beat music of rock and roll and rhythm and blues from skiffle, like the Quarrymen who became the Beatles, producing a form of rock and roll revivalism that carried them and many other groups to national success from about 1963 and to international success from 1964, known in America as the British Invasion.[93] Groups that followed the Beatles included the beat-influenced Freddie and the Dreamers, Wayne Fontana and the Mindbenders, Herman's Hermits and the Dave Clark Five.[94] Early British rhythm and blues groups with more blues influences include the Animals, the Rolling Stones, and the Yardbirds.[95]
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Rock and roll influenced lifestyles, fashion, attitudes, and language.[96] In addition, rock and roll may have contributed to the civil rights movement because both African-American and white American teens enjoyed the music.[12]
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Many early rock and roll songs dealt with issues of cars, school, dating, and clothing. The lyrics of rock and roll songs described events and conflicts that most listeners could relate to through personal experience. Topics such as sex that had generally been considered taboo began to appear in rock and roll lyrics. This new music tried to break boundaries and express emotions that people were actually feeling but had not talked about. An awakening began to take place in American youth culture.[97]
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In the crossover of African-American "race music" to a growing white youth audience, the popularization of rock and roll involved both black performers reaching a white audience and white musicians performing African-American music.[98] Rock and roll appeared at a time when racial tensions in the United States were entering a new phase, with the beginnings of the civil rights movement for desegregation, leading to the U.S. Supreme Court ruling that abolished the policy of "separate but equal" in 1954, but leaving a policy which would be extremely difficult to enforce in parts of the United States.[99] The coming together of white youth audiences and black music in rock and roll inevitably provoked strong white racist reactions within the US, with many whites condemning its breaking down of barriers based on color.[12] Many observers saw rock and roll as heralding the way for desegregation, in creating a new form of music that encouraged racial cooperation and shared experience.[100] Many authors have argued that early rock and roll was instrumental in the way both white and black teenagers identified themselves.[101]
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Several rock historians have claimed that rock and roll was one of the first music genres to define an age group.[102] It gave teenagers a sense of belonging, even when they were alone.[102] Rock and roll is often identified with the emergence of teen culture among the first baby boomer generation, who had greater relative affluence and leisure time and adopted rock and roll as part of a distinct subculture.[103] This involved not just music, absorbed via radio, record buying, jukeboxes and TV programs like American Bandstand, but also extended to film, clothes, hair, cars and motorbikes, and distinctive language. The youth culture exemplified by rock and roll was a recurring source of concern for older generations, who worried about juvenile delinquency and social rebellion, particularly because to a large extent rock and roll culture was shared by different racial and social groups.[103]
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In America, that concern was conveyed even in youth cultural artifacts such as comic books. In "There's No Romance in Rock and Roll" from True Life Romance (1956), a defiant teen dates a rock and roll-loving boy but drops him for one who likes traditional adult music—to her parents' relief.[104] In Britain, where postwar prosperity was more limited, rock and roll culture became attached to the pre-existing Teddy Boy movement, largely working class in origin, and eventually to the rockers.[84] Rock and roll has been seen as reorienting popular music toward a youth market, as in Dion and the Belmonts' "A Teenager in Love" (1960).[105]
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From its early 1950s beginnings through the early 1960s, rock and roll spawned new dance crazes[106] including the twist. Teenagers found the syncopated backbeat rhythm especially suited to reviving Big Band-era jitterbug dancing. Sock hops, school and church gym dances, and home basement dance parties became the rage, and American teens watched Dick Clark's American Bandstand to keep up on the latest dance and fashion styles.[107] From the mid-1960s on, as "rock and roll" was rebranded as "rock," later dance genres followed, leading to funk, disco, house, techno, and hip hop.[108]
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Rock and roll (often written as rock & roll, rock 'n' roll, or rock 'n roll) is a genre of popular music that originated and evolved in the United States during the late 1940s and early 1950s[1][2] from musical styles such as gospel, jump blues, jazz, boogie woogie, rhythm and blues,[3] and country music.[4] While elements of what was to become rock and roll can be heard in blues records from the 1920s[5] and in country records of the 1930s,[4] the genre did not acquire its name until 1954.[6][7]
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According to journalist Greg Kot, "rock and roll" refers to a style of popular music originating in the U.S. in the 1950s prior to its development by the mid-1960s into "the more encompassing international style known as rock music, though the latter also continued to be known as rock and roll."[8] For the purpose of differentiation, this article deals with the first definition.
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In the earliest rock and roll styles, either the piano or saxophone was typically the lead instrument, but these instruments were generally replaced or supplemented by guitar in the middle to late 1950s.[9] The beat is essentially a dance rhythm[10] with an accentuated backbeat, which is almost always provided by a snare drum.[11] Classic rock and roll is usually played with one or two electric guitars (one lead, one rhythm), a double bass (string bass) or after the mid-1950s an electric bass guitar, and a drum kit.[9]
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Beyond just a musical style, rock and roll, as depicted in movies, in fan magazines, and on television, influenced lifestyles, fashion, attitudes, and language. Rock and roll may have contributed to the civil rights movement because both African American and White American teenagers enjoyed the music.[12]
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The term "rock and roll" is defined by Encyclopædia Britannica as the music that originated in the mid-1950s and later developed "into the more encompassing international style known as rock music".[8] The term is sometimes also used as synonymous with "rock music" and is defined as such in some dictionaries.[13][14]
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The phrase "rocking and rolling" originally described the movement of a ship on the ocean,[15] but by the early 20th century was used both to describe the spiritual fervor of black church rituals[16] and as a sexual analogy. Various gospel, blues and swing recordings used the phrase before it became used more frequently – but still intermittently – in the 1940s, on recordings and in reviews of what became known as "rhythm and blues" music aimed at a black audience.[16]
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In 1934, the song "Rock and Roll" by the Boswell Sisters appeared in the film Transatlantic Merry-Go-Round. In 1942, Billboard magazine columnist Maurie Orodenker started to use the term "rock-and-roll" to describe upbeat recordings such as "Rock Me" by Sister Rosetta Tharpe.[17] By 1943, the "Rock and Roll Inn" in South Merchantville, New Jersey, was established as a music venue.[18] In 1951, Cleveland, Ohio, disc jockey Alan Freed began playing this music style while popularizing the phrase to describe it.[19]
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The origins of rock and roll have been fiercely debated by commentators and historians of music.[20] There is general agreement that it arose in the Southern United States – a region that would produce most of the major early rock and roll acts – through the meeting of various influences that embodied a merging of the African musical tradition with European instrumentation.[21] The migration of many former slaves and their descendants to major urban centers such as St. Louis, Memphis, New York City, Detroit, Chicago, Cleveland, and Buffalo (See: Second Great Migration (African American)) meant that black and white residents were living in close proximity in larger numbers than ever before, and as a result heard each other's music and even began to emulate each other's fashions.[22][23] Radio stations that made white and black forms of music available to both groups, the development and spread of the gramophone record, and African-American musical styles such as jazz and swing which were taken up by white musicians, aided this process of "cultural collision".[24]
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The immediate roots of rock and roll lay in the rhythm and blues, then called "race music",[25] and country music of the 1940s and 1950s.[20] Particularly significant influences were jazz, blues, gospel, country, and folk.[20] Commentators differ in their views of which of these forms were most important and the degree to which the new music was a re-branding of African-American rhythm and blues for a white market, or a new hybrid of black and white forms.[26][27][28]
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In the 1930s, jazz, and particularly swing, both in urban-based dance bands and blues-influenced country swing (Jimmie Rodgers, Moon Mullican and other similar singers), were among the first music to present African-American sounds for a predominantly white audience.[27][29] One particularly noteworthy example of a jazz song with recognizably rock and roll elements is Big Joe Turner with pianist Pete Johnson's 1939 single Roll 'Em Pete, which is regarded as an important precursor of rock and roll.[30][31][32] The 1940s saw the increased use of blaring horns (including saxophones), shouted lyrics and boogie woogie beats in jazz-based music. During and immediately after World War II, with shortages of fuel and limitations on audiences and available personnel, large jazz bands were less economical and tended to be replaced by smaller combos, using guitars, bass and drums.[20][33] In the same period, particularly on the West Coast and in the Midwest, the development of jump blues, with its guitar riffs, prominent beats and shouted lyrics, prefigured many later developments.[20] In the documentary film Hail! Hail! Rock 'n' Roll, Keith Richards proposes that Chuck Berry developed his brand of rock and roll by transposing the familiar two-note lead line of jump blues piano directly to the electric guitar, creating what is instantly recognizable as rock guitar. Similarly, country boogie and Chicago electric blues supplied many of the elements that would be seen as characteristic of rock and roll.[20] Inspired by electric blues, Chuck Berry introduced an aggressive guitar sound to rock and roll, and established the electric guitar as its centrepiece,[34] adapting his rock band instrumentation from the basic blues band instrumentation of a lead guitar, second chord instrument, bass and drums.[35]
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Rock and roll arrived at a time of considerable technological change, soon after the development of the electric guitar, amplifier and microphone, and the 45 rpm record.[20] There were also changes in the record industry, with the rise of independent labels like Atlantic, Sun and Chess servicing niche audiences and a similar rise of radio stations that played their music.[20] It was the realization that relatively affluent white teenagers were listening to this music that led to the development of what was to be defined as rock and roll as a distinct genre.[20] Because the development of rock and roll was an evolutionary process, no single record can be identified as unambiguously "the first" rock and roll record.[36] Contenders for the title of "first rock and roll record" include Sister Rosetta Tharpe's "Strange Things Happening Every Day" (1944),[37], "That's All Right" by Arthur Crudup (1946), "The Fat Man" by Fats Domino (1949),[36] Goree Carter's "Rock Awhile" (1949),[38] Jimmy Preston's "Rock the Joint" (1949), which was later covered by Bill Haley & His Comets in 1952,[39] "Rocket 88" by Jackie Brenston and his Delta Cats (Ike Turner and his band The Kings of Rhythm), recorded by Sam Phillips for Sun Records in March 1951.[40] In terms of its wide cultural impact across society in the US and elsewhere, Bill Haley's "Rock Around the Clock",[41] recorded in April 1954 but not a commercial success until the following year, is generally recognized as an important milestone, but it was preceded by many recordings from earlier decades in which elements of rock and roll can be clearly discerned.[36][42][43]
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Other artists with early rock and roll hits included Chuck Berry, Bo Diddley, Little Richard, Jerry Lee Lewis, and Gene Vincent.[40] Chuck Berry's 1955 classic "Maybellene" in particular features a distorted electric guitar solo with warm overtones created by his small valve amplifier.[44] However, the use of distortion was predated by electric blues guitarists such as Joe Hill Louis,[45] Guitar Slim,[46] Willie Johnson of Howlin' Wolf's band,[47] and Pat Hare; the latter two also made use of distorted power chords in the early 1950s.[48] Also in 1955, Bo Diddley introduced the "Bo Diddley beat" and a unique electric guitar style,[49] influenced by African and Afro-Cuban music and in turn influencing many later artists.[50][51][52]
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"Rockabilly" usually (but not exclusively) refers to the type of rock and roll music which was played and recorded in the mid-1950s primarily by white singers such as Elvis Presley, Carl Perkins, Johnny Cash, and Jerry Lee Lewis, who drew mainly on the country roots of the music.[53][54] Elvis Presley was greatly influenced and incorporated his style of music with some of the greatest African American musicians like BB King, Chuck Berry and Fats Domino. His style of music combined with black influences created controversy during a turbulent time in history.[54] Many other popular rock and roll singers of the time, such as Fats Domino and Little Richard,[55] came out of the black rhythm and blues tradition, making the music attractive to white audiences, and are not usually classed as "rockabilly".
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Bill Flagg who is a Connecticut resident, began referring to his mix of hillbilly and rock 'n' roll music as rockabilly around 1953.[56] His song "Guitar Rock" is considered as classic rockabilly.[citation needed]
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In July 1954, Elvis Presley recorded the regional hit "That's All Right" at Sam Phillips' Sun Studio in Memphis.[57] Three months earlier, on April 12, 1954, Bill Haley & His Comets recorded "Rock Around the Clock". Although only a minor hit when first released, when used in the opening sequence of the movie Blackboard Jungle a year later, it set the rock and roll boom in motion.[41] The song became one of the biggest hits in history, and frenzied teens flocked to see Haley and the Comets perform it, causing riots in some cities. "Rock Around the Clock" was a breakthrough for both the group and for all of rock and roll music. If everything that came before laid the groundwork, "Rock Around the Clock" introduced the music to a global audience.[58]
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In 1956, the arrival of rockabilly was underlined by the success of songs like "Folsom Prison Blues" by Johnny Cash, "Blue Suede Shoes" by Perkins and the No. 1 hit "Heartbreak Hotel" by Presley.[54] For a few years it became the most commercially successful form of rock and roll. Later rockabilly acts, particularly performing songwriters like Buddy Holly, would be a major influence on British Invasion acts and particularly on the song writing of the Beatles and through them on the nature of later rock music.[59]
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Doo-wop was one of the most popular forms of 1950s rhythm and blues, often compared with rock and roll, with an emphasis on multi-part vocal harmonies and meaningless backing lyrics (from which the genre later gained its name), which were usually supported with light instrumentation.[60] Its origins were in African-American vocal groups of the 1930s and 40s, such as the Ink Spots and the Mills Brothers, who had enjoyed considerable commercial success with arrangements based on close harmonies.[61] They were followed by 1940s R&B vocal acts such as the Orioles, the Ravens and the Clovers, who injected a strong element of traditional gospel and, increasingly, the energy of jump blues.[61] By 1954, as rock and roll was beginning to emerge, a number of similar acts began to cross over from the R&B charts to mainstream success, often with added honking brass and saxophone, with the Crows, the Penguins, the El Dorados and the Turbans all scoring major hits.[61] Despite the subsequent explosion in records from doo wop acts in the later '50s, many failed to chart or were one-hit wonders. Exceptions included the Platters, with songs including "The Great Pretender" (1955)[62] and the Coasters with humorous songs like "Yakety Yak" (1958),[63] both of which ranked among the most successful rock and roll acts of the era.[61] Towards the end of the decade there were increasing numbers of white, particularly Italian-American, singers taking up Doo Wop, creating all-white groups like the Mystics and Dion and the Belmonts and racially integrated groups like the Del-Vikings and the Impalas.[61] Doo-wop would be a major influence on vocal surf music, soul and early Merseybeat, including the Beatles.[61]
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Many of the earliest white rock and roll hits were covers or partial re-writes of earlier black rhythm and blues or blues songs.[64] Through the late 1940s and early 1950s, R&B music had been gaining a stronger beat and a wilder style, with artists such as Fats Domino and Johnny Otis speeding up the tempos and increasing the backbeat to great popularity on the juke joint circuit.[65] Before the efforts of Freed and others, black music was taboo on many white-owned radio outlets, but artists and producers quickly recognized the potential of rock and roll.[66] Some of Presley's early recordings were covers of black rhythm and blues or blues songs, such as "That's All Right" (a countrified arrangement of a blues number), "Baby Let's Play House", "Lawdy Miss Clawdy" and "Hound Dog".[67] The racial lines, however, are rather more clouded by the fact that some of these R&B songs originally recorded by black artists had been written by white songwriters, such as the team of Jerry Leiber and Mike Stoller. Songwriting credits were often unreliable; many publishers, record executives, and even managers (both white and black) would insert their name as a composer in order to collect royalty checks.
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Covers were customary in the music industry at the time; it was made particularly easy by the compulsory license provision of United States copyright law (still in effect).[68] One of the first relevant successful covers was Wynonie Harris's transformation of Roy Brown's 1947 original jump blues hit "Good Rocking Tonight" into a more showy rocker[69] and the Louis Prima rocker "Oh Babe" in 1950, as well as Amos Milburn's cover of what may have been the first white rock and roll record, Hardrock Gunter's "Birmingham Bounce" in 1949.[70] The most notable trend, however, was white pop covers of black R&B numbers. The more familiar sound of these covers may have been more palatable to white audiences, there may have been an element of prejudice, but labels aimed at the white market also had much better distribution networks and were generally much more profitable.[71] Famously, Pat Boone recorded sanitized versions of songs recorded by the likes of Fats Domino, Little Richard, the Flamingos and Ivory Joe Hunter. Later, as those songs became popular, the original artists' recordings received radio play as well.[72]
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The cover versions were not necessarily straightforward imitations. For example, Bill Haley's incompletely bowdlerized cover of "Shake, Rattle and Roll" transformed Big Joe Turner's humorous and racy tale of adult love into an energetic teen dance number,[64][73] while Georgia Gibbs replaced Etta James's tough, sarcastic vocal in "Roll With Me, Henry" (covered as "Dance With Me, Henry") with a perkier vocal more appropriate for an audience unfamiliar with the song to which James's song was an answer, Hank Ballard's "Work With Me, Annie".[74] Elvis' rock and roll version of "Hound Dog", taken mainly from a version recorded by the pop band Freddie Bell and the Bellboys, was very different from the blues shouter that Big Mama Thornton had recorded four years earlier.[75][76] Other white artists who recorded cover versions of rhythm & blues songs included Gale Storm [Smiley Lewis' "I Hear You Knockin'"], the Diamonds [The Gladiolas' "Little Darlin'" and Frankie Lymon & the Teenagers' "Why Do Fools Fall in Love?"], the Crew Cuts [the Chords' "Sh-Boom" and Nappy Brown's "Don't Be Angry"], the Fountain Sisters [The Jewels' "Hearts of Stone"] and the Maguire Sisters [The Moonglows' "Sincerely"].
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Some commentators have suggested a decline of rock and roll in the late 1950s and early 1960s.[77][78] By 1959, the deaths of Buddy Holly, The Big Bopper and Ritchie Valens in a plane crash (February 1959), the departure of Elvis for service in the United States Army (March 1958), the retirement of Little Richard to become a preacher (October 1957), the scandal surrounding Jerry Lee Lewis' marriage to his thirteen-year-old cousin (May 1958), the arrest of Chuck Berry (December 1959), and the breaking of the Payola scandal implicating major figures, including Alan Freed, in bribery and corruption in promoting individual acts or songs (November 1959), gave a sense that the initial phase of rock and roll had come to an end.[79]
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During the late 1950s and early 1960s, the rawer sounds of Elvis Presley, Gene Vincent, Jerry Lee Lewis and Buddy Holly were commercially superseded by a more polished, commercial style of rock and roll. Marketing frequently emphasized the physical looks of the artist rather than the music, contributing to the successful careers of Ricky Nelson, Tommy Sands, Bobby Vee and the Philadelphia trio of Bobby Rydell, Frankie Avalon and Fabian, who all became "teen idols."[80]
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Some music historians have also pointed to important and innovative developments that built on rock and roll in this period, including multitrack recording, developed by Les Paul, the electronic treatment of sound by such innovators as Joe Meek, and the "Wall of Sound" productions of Phil Spector,[81] continued desegregation of the charts, the rise of surf music, garage rock and the Twist dance craze.[27] Surf rock in particular, noted for the use of reverb-drenched guitars, became one of the most popular forms of American rock of the 1960s.[82]
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In the 1950s, Britain was well placed to receive American rock and roll music and culture.[83] It shared a common language, had been exposed to American culture through the stationing of troops in the country, and shared many social developments, including the emergence of distinct youth sub-cultures, which in Britain included the Teddy Boys and the rockers.[84] Trad Jazz became popular, and many of its musicians were influenced by related American styles, including boogie woogie and the blues.[85] The skiffle craze, led by Lonnie Donegan, utilised amateurish versions of American folk songs and encouraged many of the subsequent generation of rock and roll, folk, R&B and beat musicians to start performing.[86] At the same time British audiences were beginning to encounter American rock and roll, initially through films including Blackboard Jungle (1955) and Rock Around the Clock (1956).[87] Both movies contained the Bill Haley & His Comets hit "Rock Around the Clock", which first entered the British charts in early 1955 – four months before it reached the US pop charts – topped the British charts later that year and again in 1956, and helped identify rock and roll with teenage delinquency.[88] American rock and roll acts such as Elvis Presley, Little Richard, Buddy Holly, Chuck Berry and Carl Perkins thereafter became major forces in the British charts.[citation needed]
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The initial response of the British music industry was to attempt to produce copies of American records, recorded with session musicians and often fronted by teen idols.[83] More grassroots British rock and rollers soon began to appear, including Wee Willie Harris and Tommy Steele.[83] During this period American Rock and Roll remained dominant; however, in 1958 Britain produced its first "authentic" rock and roll song and star, when Cliff Richard reached number 2 in the charts with "Move It".[89] At the same time, TV shows such as Six-Five Special and Oh Boy! promoted the careers of British rock and rollers like Marty Wilde and Adam Faith.[83] Cliff Richard and his backing band, the Shadows, were the most successful home grown rock and roll based acts of the era.[90] Other leading acts included Billy Fury, Joe Brown, and Johnny Kidd & the Pirates, whose 1960 hit song "Shakin' All Over" became a rock and roll standard.[83]
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As interest in rock and roll was beginning to subside in America in the late 1950s and early 1960s, it was taken up by groups in major British urban centres like Liverpool, Manchester, Birmingham, and London.[91] About the same time, a British blues scene developed, initially led by purist blues followers such as Alexis Korner and Cyril Davies who were directly inspired by American musicians such as Robert Johnson, Muddy Waters and Howlin' Wolf.[92] Many groups moved towards the beat music of rock and roll and rhythm and blues from skiffle, like the Quarrymen who became the Beatles, producing a form of rock and roll revivalism that carried them and many other groups to national success from about 1963 and to international success from 1964, known in America as the British Invasion.[93] Groups that followed the Beatles included the beat-influenced Freddie and the Dreamers, Wayne Fontana and the Mindbenders, Herman's Hermits and the Dave Clark Five.[94] Early British rhythm and blues groups with more blues influences include the Animals, the Rolling Stones, and the Yardbirds.[95]
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Rock and roll influenced lifestyles, fashion, attitudes, and language.[96] In addition, rock and roll may have contributed to the civil rights movement because both African-American and white American teens enjoyed the music.[12]
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Many early rock and roll songs dealt with issues of cars, school, dating, and clothing. The lyrics of rock and roll songs described events and conflicts that most listeners could relate to through personal experience. Topics such as sex that had generally been considered taboo began to appear in rock and roll lyrics. This new music tried to break boundaries and express emotions that people were actually feeling but had not talked about. An awakening began to take place in American youth culture.[97]
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In the crossover of African-American "race music" to a growing white youth audience, the popularization of rock and roll involved both black performers reaching a white audience and white musicians performing African-American music.[98] Rock and roll appeared at a time when racial tensions in the United States were entering a new phase, with the beginnings of the civil rights movement for desegregation, leading to the U.S. Supreme Court ruling that abolished the policy of "separate but equal" in 1954, but leaving a policy which would be extremely difficult to enforce in parts of the United States.[99] The coming together of white youth audiences and black music in rock and roll inevitably provoked strong white racist reactions within the US, with many whites condemning its breaking down of barriers based on color.[12] Many observers saw rock and roll as heralding the way for desegregation, in creating a new form of music that encouraged racial cooperation and shared experience.[100] Many authors have argued that early rock and roll was instrumental in the way both white and black teenagers identified themselves.[101]
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Several rock historians have claimed that rock and roll was one of the first music genres to define an age group.[102] It gave teenagers a sense of belonging, even when they were alone.[102] Rock and roll is often identified with the emergence of teen culture among the first baby boomer generation, who had greater relative affluence and leisure time and adopted rock and roll as part of a distinct subculture.[103] This involved not just music, absorbed via radio, record buying, jukeboxes and TV programs like American Bandstand, but also extended to film, clothes, hair, cars and motorbikes, and distinctive language. The youth culture exemplified by rock and roll was a recurring source of concern for older generations, who worried about juvenile delinquency and social rebellion, particularly because to a large extent rock and roll culture was shared by different racial and social groups.[103]
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In America, that concern was conveyed even in youth cultural artifacts such as comic books. In "There's No Romance in Rock and Roll" from True Life Romance (1956), a defiant teen dates a rock and roll-loving boy but drops him for one who likes traditional adult music—to her parents' relief.[104] In Britain, where postwar prosperity was more limited, rock and roll culture became attached to the pre-existing Teddy Boy movement, largely working class in origin, and eventually to the rockers.[84] Rock and roll has been seen as reorienting popular music toward a youth market, as in Dion and the Belmonts' "A Teenager in Love" (1960).[105]
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From its early 1950s beginnings through the early 1960s, rock and roll spawned new dance crazes[106] including the twist. Teenagers found the syncopated backbeat rhythm especially suited to reviving Big Band-era jitterbug dancing. Sock hops, school and church gym dances, and home basement dance parties became the rage, and American teens watched Dick Clark's American Bandstand to keep up on the latest dance and fashion styles.[107] From the mid-1960s on, as "rock and roll" was rebranded as "rock," later dance genres followed, leading to funk, disco, house, techno, and hip hop.[108]
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Rock and roll (often written as rock & roll, rock 'n' roll, or rock 'n roll) is a genre of popular music that originated and evolved in the United States during the late 1940s and early 1950s[1][2] from musical styles such as gospel, jump blues, jazz, boogie woogie, rhythm and blues,[3] and country music.[4] While elements of what was to become rock and roll can be heard in blues records from the 1920s[5] and in country records of the 1930s,[4] the genre did not acquire its name until 1954.[6][7]
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According to journalist Greg Kot, "rock and roll" refers to a style of popular music originating in the U.S. in the 1950s prior to its development by the mid-1960s into "the more encompassing international style known as rock music, though the latter also continued to be known as rock and roll."[8] For the purpose of differentiation, this article deals with the first definition.
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In the earliest rock and roll styles, either the piano or saxophone was typically the lead instrument, but these instruments were generally replaced or supplemented by guitar in the middle to late 1950s.[9] The beat is essentially a dance rhythm[10] with an accentuated backbeat, which is almost always provided by a snare drum.[11] Classic rock and roll is usually played with one or two electric guitars (one lead, one rhythm), a double bass (string bass) or after the mid-1950s an electric bass guitar, and a drum kit.[9]
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Beyond just a musical style, rock and roll, as depicted in movies, in fan magazines, and on television, influenced lifestyles, fashion, attitudes, and language. Rock and roll may have contributed to the civil rights movement because both African American and White American teenagers enjoyed the music.[12]
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The term "rock and roll" is defined by Encyclopædia Britannica as the music that originated in the mid-1950s and later developed "into the more encompassing international style known as rock music".[8] The term is sometimes also used as synonymous with "rock music" and is defined as such in some dictionaries.[13][14]
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The phrase "rocking and rolling" originally described the movement of a ship on the ocean,[15] but by the early 20th century was used both to describe the spiritual fervor of black church rituals[16] and as a sexual analogy. Various gospel, blues and swing recordings used the phrase before it became used more frequently – but still intermittently – in the 1940s, on recordings and in reviews of what became known as "rhythm and blues" music aimed at a black audience.[16]
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In 1934, the song "Rock and Roll" by the Boswell Sisters appeared in the film Transatlantic Merry-Go-Round. In 1942, Billboard magazine columnist Maurie Orodenker started to use the term "rock-and-roll" to describe upbeat recordings such as "Rock Me" by Sister Rosetta Tharpe.[17] By 1943, the "Rock and Roll Inn" in South Merchantville, New Jersey, was established as a music venue.[18] In 1951, Cleveland, Ohio, disc jockey Alan Freed began playing this music style while popularizing the phrase to describe it.[19]
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The origins of rock and roll have been fiercely debated by commentators and historians of music.[20] There is general agreement that it arose in the Southern United States – a region that would produce most of the major early rock and roll acts – through the meeting of various influences that embodied a merging of the African musical tradition with European instrumentation.[21] The migration of many former slaves and their descendants to major urban centers such as St. Louis, Memphis, New York City, Detroit, Chicago, Cleveland, and Buffalo (See: Second Great Migration (African American)) meant that black and white residents were living in close proximity in larger numbers than ever before, and as a result heard each other's music and even began to emulate each other's fashions.[22][23] Radio stations that made white and black forms of music available to both groups, the development and spread of the gramophone record, and African-American musical styles such as jazz and swing which were taken up by white musicians, aided this process of "cultural collision".[24]
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The immediate roots of rock and roll lay in the rhythm and blues, then called "race music",[25] and country music of the 1940s and 1950s.[20] Particularly significant influences were jazz, blues, gospel, country, and folk.[20] Commentators differ in their views of which of these forms were most important and the degree to which the new music was a re-branding of African-American rhythm and blues for a white market, or a new hybrid of black and white forms.[26][27][28]
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In the 1930s, jazz, and particularly swing, both in urban-based dance bands and blues-influenced country swing (Jimmie Rodgers, Moon Mullican and other similar singers), were among the first music to present African-American sounds for a predominantly white audience.[27][29] One particularly noteworthy example of a jazz song with recognizably rock and roll elements is Big Joe Turner with pianist Pete Johnson's 1939 single Roll 'Em Pete, which is regarded as an important precursor of rock and roll.[30][31][32] The 1940s saw the increased use of blaring horns (including saxophones), shouted lyrics and boogie woogie beats in jazz-based music. During and immediately after World War II, with shortages of fuel and limitations on audiences and available personnel, large jazz bands were less economical and tended to be replaced by smaller combos, using guitars, bass and drums.[20][33] In the same period, particularly on the West Coast and in the Midwest, the development of jump blues, with its guitar riffs, prominent beats and shouted lyrics, prefigured many later developments.[20] In the documentary film Hail! Hail! Rock 'n' Roll, Keith Richards proposes that Chuck Berry developed his brand of rock and roll by transposing the familiar two-note lead line of jump blues piano directly to the electric guitar, creating what is instantly recognizable as rock guitar. Similarly, country boogie and Chicago electric blues supplied many of the elements that would be seen as characteristic of rock and roll.[20] Inspired by electric blues, Chuck Berry introduced an aggressive guitar sound to rock and roll, and established the electric guitar as its centrepiece,[34] adapting his rock band instrumentation from the basic blues band instrumentation of a lead guitar, second chord instrument, bass and drums.[35]
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Rock and roll arrived at a time of considerable technological change, soon after the development of the electric guitar, amplifier and microphone, and the 45 rpm record.[20] There were also changes in the record industry, with the rise of independent labels like Atlantic, Sun and Chess servicing niche audiences and a similar rise of radio stations that played their music.[20] It was the realization that relatively affluent white teenagers were listening to this music that led to the development of what was to be defined as rock and roll as a distinct genre.[20] Because the development of rock and roll was an evolutionary process, no single record can be identified as unambiguously "the first" rock and roll record.[36] Contenders for the title of "first rock and roll record" include Sister Rosetta Tharpe's "Strange Things Happening Every Day" (1944),[37], "That's All Right" by Arthur Crudup (1946), "The Fat Man" by Fats Domino (1949),[36] Goree Carter's "Rock Awhile" (1949),[38] Jimmy Preston's "Rock the Joint" (1949), which was later covered by Bill Haley & His Comets in 1952,[39] "Rocket 88" by Jackie Brenston and his Delta Cats (Ike Turner and his band The Kings of Rhythm), recorded by Sam Phillips for Sun Records in March 1951.[40] In terms of its wide cultural impact across society in the US and elsewhere, Bill Haley's "Rock Around the Clock",[41] recorded in April 1954 but not a commercial success until the following year, is generally recognized as an important milestone, but it was preceded by many recordings from earlier decades in which elements of rock and roll can be clearly discerned.[36][42][43]
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Other artists with early rock and roll hits included Chuck Berry, Bo Diddley, Little Richard, Jerry Lee Lewis, and Gene Vincent.[40] Chuck Berry's 1955 classic "Maybellene" in particular features a distorted electric guitar solo with warm overtones created by his small valve amplifier.[44] However, the use of distortion was predated by electric blues guitarists such as Joe Hill Louis,[45] Guitar Slim,[46] Willie Johnson of Howlin' Wolf's band,[47] and Pat Hare; the latter two also made use of distorted power chords in the early 1950s.[48] Also in 1955, Bo Diddley introduced the "Bo Diddley beat" and a unique electric guitar style,[49] influenced by African and Afro-Cuban music and in turn influencing many later artists.[50][51][52]
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"Rockabilly" usually (but not exclusively) refers to the type of rock and roll music which was played and recorded in the mid-1950s primarily by white singers such as Elvis Presley, Carl Perkins, Johnny Cash, and Jerry Lee Lewis, who drew mainly on the country roots of the music.[53][54] Elvis Presley was greatly influenced and incorporated his style of music with some of the greatest African American musicians like BB King, Chuck Berry and Fats Domino. His style of music combined with black influences created controversy during a turbulent time in history.[54] Many other popular rock and roll singers of the time, such as Fats Domino and Little Richard,[55] came out of the black rhythm and blues tradition, making the music attractive to white audiences, and are not usually classed as "rockabilly".
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Bill Flagg who is a Connecticut resident, began referring to his mix of hillbilly and rock 'n' roll music as rockabilly around 1953.[56] His song "Guitar Rock" is considered as classic rockabilly.[citation needed]
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In July 1954, Elvis Presley recorded the regional hit "That's All Right" at Sam Phillips' Sun Studio in Memphis.[57] Three months earlier, on April 12, 1954, Bill Haley & His Comets recorded "Rock Around the Clock". Although only a minor hit when first released, when used in the opening sequence of the movie Blackboard Jungle a year later, it set the rock and roll boom in motion.[41] The song became one of the biggest hits in history, and frenzied teens flocked to see Haley and the Comets perform it, causing riots in some cities. "Rock Around the Clock" was a breakthrough for both the group and for all of rock and roll music. If everything that came before laid the groundwork, "Rock Around the Clock" introduced the music to a global audience.[58]
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In 1956, the arrival of rockabilly was underlined by the success of songs like "Folsom Prison Blues" by Johnny Cash, "Blue Suede Shoes" by Perkins and the No. 1 hit "Heartbreak Hotel" by Presley.[54] For a few years it became the most commercially successful form of rock and roll. Later rockabilly acts, particularly performing songwriters like Buddy Holly, would be a major influence on British Invasion acts and particularly on the song writing of the Beatles and through them on the nature of later rock music.[59]
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Doo-wop was one of the most popular forms of 1950s rhythm and blues, often compared with rock and roll, with an emphasis on multi-part vocal harmonies and meaningless backing lyrics (from which the genre later gained its name), which were usually supported with light instrumentation.[60] Its origins were in African-American vocal groups of the 1930s and 40s, such as the Ink Spots and the Mills Brothers, who had enjoyed considerable commercial success with arrangements based on close harmonies.[61] They were followed by 1940s R&B vocal acts such as the Orioles, the Ravens and the Clovers, who injected a strong element of traditional gospel and, increasingly, the energy of jump blues.[61] By 1954, as rock and roll was beginning to emerge, a number of similar acts began to cross over from the R&B charts to mainstream success, often with added honking brass and saxophone, with the Crows, the Penguins, the El Dorados and the Turbans all scoring major hits.[61] Despite the subsequent explosion in records from doo wop acts in the later '50s, many failed to chart or were one-hit wonders. Exceptions included the Platters, with songs including "The Great Pretender" (1955)[62] and the Coasters with humorous songs like "Yakety Yak" (1958),[63] both of which ranked among the most successful rock and roll acts of the era.[61] Towards the end of the decade there were increasing numbers of white, particularly Italian-American, singers taking up Doo Wop, creating all-white groups like the Mystics and Dion and the Belmonts and racially integrated groups like the Del-Vikings and the Impalas.[61] Doo-wop would be a major influence on vocal surf music, soul and early Merseybeat, including the Beatles.[61]
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Many of the earliest white rock and roll hits were covers or partial re-writes of earlier black rhythm and blues or blues songs.[64] Through the late 1940s and early 1950s, R&B music had been gaining a stronger beat and a wilder style, with artists such as Fats Domino and Johnny Otis speeding up the tempos and increasing the backbeat to great popularity on the juke joint circuit.[65] Before the efforts of Freed and others, black music was taboo on many white-owned radio outlets, but artists and producers quickly recognized the potential of rock and roll.[66] Some of Presley's early recordings were covers of black rhythm and blues or blues songs, such as "That's All Right" (a countrified arrangement of a blues number), "Baby Let's Play House", "Lawdy Miss Clawdy" and "Hound Dog".[67] The racial lines, however, are rather more clouded by the fact that some of these R&B songs originally recorded by black artists had been written by white songwriters, such as the team of Jerry Leiber and Mike Stoller. Songwriting credits were often unreliable; many publishers, record executives, and even managers (both white and black) would insert their name as a composer in order to collect royalty checks.
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Covers were customary in the music industry at the time; it was made particularly easy by the compulsory license provision of United States copyright law (still in effect).[68] One of the first relevant successful covers was Wynonie Harris's transformation of Roy Brown's 1947 original jump blues hit "Good Rocking Tonight" into a more showy rocker[69] and the Louis Prima rocker "Oh Babe" in 1950, as well as Amos Milburn's cover of what may have been the first white rock and roll record, Hardrock Gunter's "Birmingham Bounce" in 1949.[70] The most notable trend, however, was white pop covers of black R&B numbers. The more familiar sound of these covers may have been more palatable to white audiences, there may have been an element of prejudice, but labels aimed at the white market also had much better distribution networks and were generally much more profitable.[71] Famously, Pat Boone recorded sanitized versions of songs recorded by the likes of Fats Domino, Little Richard, the Flamingos and Ivory Joe Hunter. Later, as those songs became popular, the original artists' recordings received radio play as well.[72]
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The cover versions were not necessarily straightforward imitations. For example, Bill Haley's incompletely bowdlerized cover of "Shake, Rattle and Roll" transformed Big Joe Turner's humorous and racy tale of adult love into an energetic teen dance number,[64][73] while Georgia Gibbs replaced Etta James's tough, sarcastic vocal in "Roll With Me, Henry" (covered as "Dance With Me, Henry") with a perkier vocal more appropriate for an audience unfamiliar with the song to which James's song was an answer, Hank Ballard's "Work With Me, Annie".[74] Elvis' rock and roll version of "Hound Dog", taken mainly from a version recorded by the pop band Freddie Bell and the Bellboys, was very different from the blues shouter that Big Mama Thornton had recorded four years earlier.[75][76] Other white artists who recorded cover versions of rhythm & blues songs included Gale Storm [Smiley Lewis' "I Hear You Knockin'"], the Diamonds [The Gladiolas' "Little Darlin'" and Frankie Lymon & the Teenagers' "Why Do Fools Fall in Love?"], the Crew Cuts [the Chords' "Sh-Boom" and Nappy Brown's "Don't Be Angry"], the Fountain Sisters [The Jewels' "Hearts of Stone"] and the Maguire Sisters [The Moonglows' "Sincerely"].
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Some commentators have suggested a decline of rock and roll in the late 1950s and early 1960s.[77][78] By 1959, the deaths of Buddy Holly, The Big Bopper and Ritchie Valens in a plane crash (February 1959), the departure of Elvis for service in the United States Army (March 1958), the retirement of Little Richard to become a preacher (October 1957), the scandal surrounding Jerry Lee Lewis' marriage to his thirteen-year-old cousin (May 1958), the arrest of Chuck Berry (December 1959), and the breaking of the Payola scandal implicating major figures, including Alan Freed, in bribery and corruption in promoting individual acts or songs (November 1959), gave a sense that the initial phase of rock and roll had come to an end.[79]
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During the late 1950s and early 1960s, the rawer sounds of Elvis Presley, Gene Vincent, Jerry Lee Lewis and Buddy Holly were commercially superseded by a more polished, commercial style of rock and roll. Marketing frequently emphasized the physical looks of the artist rather than the music, contributing to the successful careers of Ricky Nelson, Tommy Sands, Bobby Vee and the Philadelphia trio of Bobby Rydell, Frankie Avalon and Fabian, who all became "teen idols."[80]
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Some music historians have also pointed to important and innovative developments that built on rock and roll in this period, including multitrack recording, developed by Les Paul, the electronic treatment of sound by such innovators as Joe Meek, and the "Wall of Sound" productions of Phil Spector,[81] continued desegregation of the charts, the rise of surf music, garage rock and the Twist dance craze.[27] Surf rock in particular, noted for the use of reverb-drenched guitars, became one of the most popular forms of American rock of the 1960s.[82]
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In the 1950s, Britain was well placed to receive American rock and roll music and culture.[83] It shared a common language, had been exposed to American culture through the stationing of troops in the country, and shared many social developments, including the emergence of distinct youth sub-cultures, which in Britain included the Teddy Boys and the rockers.[84] Trad Jazz became popular, and many of its musicians were influenced by related American styles, including boogie woogie and the blues.[85] The skiffle craze, led by Lonnie Donegan, utilised amateurish versions of American folk songs and encouraged many of the subsequent generation of rock and roll, folk, R&B and beat musicians to start performing.[86] At the same time British audiences were beginning to encounter American rock and roll, initially through films including Blackboard Jungle (1955) and Rock Around the Clock (1956).[87] Both movies contained the Bill Haley & His Comets hit "Rock Around the Clock", which first entered the British charts in early 1955 – four months before it reached the US pop charts – topped the British charts later that year and again in 1956, and helped identify rock and roll with teenage delinquency.[88] American rock and roll acts such as Elvis Presley, Little Richard, Buddy Holly, Chuck Berry and Carl Perkins thereafter became major forces in the British charts.[citation needed]
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The initial response of the British music industry was to attempt to produce copies of American records, recorded with session musicians and often fronted by teen idols.[83] More grassroots British rock and rollers soon began to appear, including Wee Willie Harris and Tommy Steele.[83] During this period American Rock and Roll remained dominant; however, in 1958 Britain produced its first "authentic" rock and roll song and star, when Cliff Richard reached number 2 in the charts with "Move It".[89] At the same time, TV shows such as Six-Five Special and Oh Boy! promoted the careers of British rock and rollers like Marty Wilde and Adam Faith.[83] Cliff Richard and his backing band, the Shadows, were the most successful home grown rock and roll based acts of the era.[90] Other leading acts included Billy Fury, Joe Brown, and Johnny Kidd & the Pirates, whose 1960 hit song "Shakin' All Over" became a rock and roll standard.[83]
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As interest in rock and roll was beginning to subside in America in the late 1950s and early 1960s, it was taken up by groups in major British urban centres like Liverpool, Manchester, Birmingham, and London.[91] About the same time, a British blues scene developed, initially led by purist blues followers such as Alexis Korner and Cyril Davies who were directly inspired by American musicians such as Robert Johnson, Muddy Waters and Howlin' Wolf.[92] Many groups moved towards the beat music of rock and roll and rhythm and blues from skiffle, like the Quarrymen who became the Beatles, producing a form of rock and roll revivalism that carried them and many other groups to national success from about 1963 and to international success from 1964, known in America as the British Invasion.[93] Groups that followed the Beatles included the beat-influenced Freddie and the Dreamers, Wayne Fontana and the Mindbenders, Herman's Hermits and the Dave Clark Five.[94] Early British rhythm and blues groups with more blues influences include the Animals, the Rolling Stones, and the Yardbirds.[95]
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Rock and roll influenced lifestyles, fashion, attitudes, and language.[96] In addition, rock and roll may have contributed to the civil rights movement because both African-American and white American teens enjoyed the music.[12]
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Many early rock and roll songs dealt with issues of cars, school, dating, and clothing. The lyrics of rock and roll songs described events and conflicts that most listeners could relate to through personal experience. Topics such as sex that had generally been considered taboo began to appear in rock and roll lyrics. This new music tried to break boundaries and express emotions that people were actually feeling but had not talked about. An awakening began to take place in American youth culture.[97]
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In the crossover of African-American "race music" to a growing white youth audience, the popularization of rock and roll involved both black performers reaching a white audience and white musicians performing African-American music.[98] Rock and roll appeared at a time when racial tensions in the United States were entering a new phase, with the beginnings of the civil rights movement for desegregation, leading to the U.S. Supreme Court ruling that abolished the policy of "separate but equal" in 1954, but leaving a policy which would be extremely difficult to enforce in parts of the United States.[99] The coming together of white youth audiences and black music in rock and roll inevitably provoked strong white racist reactions within the US, with many whites condemning its breaking down of barriers based on color.[12] Many observers saw rock and roll as heralding the way for desegregation, in creating a new form of music that encouraged racial cooperation and shared experience.[100] Many authors have argued that early rock and roll was instrumental in the way both white and black teenagers identified themselves.[101]
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Several rock historians have claimed that rock and roll was one of the first music genres to define an age group.[102] It gave teenagers a sense of belonging, even when they were alone.[102] Rock and roll is often identified with the emergence of teen culture among the first baby boomer generation, who had greater relative affluence and leisure time and adopted rock and roll as part of a distinct subculture.[103] This involved not just music, absorbed via radio, record buying, jukeboxes and TV programs like American Bandstand, but also extended to film, clothes, hair, cars and motorbikes, and distinctive language. The youth culture exemplified by rock and roll was a recurring source of concern for older generations, who worried about juvenile delinquency and social rebellion, particularly because to a large extent rock and roll culture was shared by different racial and social groups.[103]
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In America, that concern was conveyed even in youth cultural artifacts such as comic books. In "There's No Romance in Rock and Roll" from True Life Romance (1956), a defiant teen dates a rock and roll-loving boy but drops him for one who likes traditional adult music—to her parents' relief.[104] In Britain, where postwar prosperity was more limited, rock and roll culture became attached to the pre-existing Teddy Boy movement, largely working class in origin, and eventually to the rockers.[84] Rock and roll has been seen as reorienting popular music toward a youth market, as in Dion and the Belmonts' "A Teenager in Love" (1960).[105]
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From its early 1950s beginnings through the early 1960s, rock and roll spawned new dance crazes[106] including the twist. Teenagers found the syncopated backbeat rhythm especially suited to reviving Big Band-era jitterbug dancing. Sock hops, school and church gym dances, and home basement dance parties became the rage, and American teens watched Dick Clark's American Bandstand to keep up on the latest dance and fashion styles.[107] From the mid-1960s on, as "rock and roll" was rebranded as "rock," later dance genres followed, leading to funk, disco, house, techno, and hip hop.[108]
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Severus Snape is a fictional character in J. K. Rowling's Harry Potter series. He is an exceptionally skilful wizard whose coldly sarcastic and controlled exterior conceals deep emotions and anguish. A Professor at Hogwarts School of Witchcraft and Wizardry, Snape is hostile to Harry due to his resemblance to his father James, who bullied Snape during their time at Hogwarts.
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Snape's character becomes more layered and enigmatic as the series progresses, and a central mystery concerns his loyalties. Snape dies at the hands of Lord Voldemort in the seventh book, at which time his back story is revealed. Despite his attraction to the Dark Arts and Voldemort's ideology of wizard supremacy, Snape's love for Muggle-born Lily Evans, Harry's mother, eventually compelled him to defect from the Death Eaters and become a double agent for Albus Dumbledore and the Order of the Phoenix. The fact that Lily chose James Potter, Harry's father who had bullied Snape and to whom Harry bears a strong physical resemblance, only fuels Snape's hostility towards Harry.
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The character has been widely acclaimed by readers and critics. Rowling described him as "a gift of a character"[1] whose story she had known since the first book, and Elizabeth Hand of The Washington Post opined that Snape's life "is the most heartbreaking, surprising and satisfying of all of Rowling's achievements".[2] Actor Alan Rickman portrayed Snape in all eight Harry Potter films, released between 2001 and 2011.
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In an interview,[3] Rowling described Snape's character as an "antihero". She has said that she drew inspiration for Snape's character from a disliked teacher from her own childhood,[4] and described Snape as a horrible teacher,[5] saying the "worst, shabbiest thing you can do as a teacher is to bully students."[6] However, she does suggest in the books that he is generally an effective teacher.[7] Although Rowling has said that Gilderoy Lockhart is her only character that she "deliberately based on a real person",[8] Snape was reportedly based, at least in part, on John Nettleship, who taught Rowling chemistry and employed her mother as an assistant at Wyedean School near Chepstow.[9][10][11] Rowling based Snape's given name on "Severus Road" in Clapham,[12] and his surname is borrowed from the name of a village in England.[13] In a 1999 interview[14] and again in 2004,[8] Rowling singled out Snape as one of her favourite characters to write.
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Rowling was less forthcoming about Snape than she was for other characters, because his true loyalties and motivations were not revealed until the final book.[15] However, she hinted numerous times at Snape's important role, suggesting that people should "keep their eye on Snape".[4][16] In 1999, answering a question regarding Snape's love life and the redemptive pattern to his character, Rowling expressed her surprise at the foresight.[17] Rowling also disclosed that after the publication of Prisoner of Azkaban, there was one female fan who guessed Snape loved Lily Potter, making Rowling wonder how she had given herself away.[18]
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After the completion of the series, Rowling began to speak openly about Snape, discussing the contrast between his character arc and that of Albus Dumbledore.[19] Rowling said "the series is built around [the Dumbledore and Snape storylines]", and maintained that she always knew what Snape would turn out to be at the end and that she carefully plotted his storyline throughout the series. "I had to drop clues all the way through because as you know in the seventh book when you have the revelation scene where everything shifts and you realise...what Snape's motivation was. I had to plot that through the books because at the point where you see what was really going on, it would have been an absolute cheat on the reader at that point just to show a bunch of stuff you've never seen before."[18] Rowling further said in an interview that she wanted Snape to find redemption and forgiveness: "Snape is a complicated man...he was a flawed human being, like all of us. Harry forgives him...Harry really sees the good in Snape ultimately... I wanted there to be redemption."[20]
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Snape first appears in Harry Potter and the Philosopher's Stone, shortly after Harry arrives at Hogwarts. He is the school's Potions Master, though he is widely rumoured to covet the Defence Against the Dark Arts post.[21] Snape himself confirms the rumour in Harry Potter and the Order of the Phoenix.[22] Snape is a sinister and malicious teacher who makes frequent snide and disparaging remarks at Harry's expense. He quickly becomes the primary antagonist of the book, as Harry suspects him of plotting to steal the philosopher's stone, and of attempting to kill him. Only the climax of the book reveals that Professor Quirrell, in league with Lord Voldemort, is the real enemy; Snape, suspicious of Quirrell, had been looking out for Harry throughout the book. In the final chapter, Dumbledore suggests that because Harry's father James had saved Snape's life when they were both students, even though the two detested each other, Snape felt responsible for Harry in return.[23] As the final book reveals, this is not the full story. In any case, even after Quirrell's true role is revealed, Harry retains feelings of suspicion and resentment towards Snape, and their relationship remains tense. Snape's behaviour and attitude towards Harry also remain unchanged.
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Snape has a minor role in Harry Potter and the Chamber of Secrets, where he helps Gilderoy Lockhart oversee Hogwarts' short-lived Duelling Club,[24] but he has little interaction with the main plot. It is while attending the Duelling Club that Harry learns the Expelliarmus spell, which plays a significant role in later books, by seeing Snape use it.
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In Harry Potter and the Prisoner of Azkaban, Snape demonstrates his expertise with potions by brewing the complex Wolfsbane potion for the new Defence Against the Dark Arts professor, Remus Lupin.[25] Throughout the third book, Snape suspects that Lupin may be helping Harry's godfather Sirius Black enter Hogwarts castle; Sirius had been convicted (wrongly, as it is later revealed) of murdering Peter Pettigrew and innocent bystanders, and betraying the Potter family's hiding place to Voldemort. This suspicion stems from Lupin's friendship with Sirius and Harry's father, James, while they were all at Hogwarts as students.[26] Near the climax of the book, Snape attempts to apprehend Sirius, but Sirius escapes with Harry's aid. Snape informs Dumbledore of this circumstance, and when Harry and Lupin are not punished, Snape retaliates by revealing to the entire school that Lupin is a werewolf, forcing the latter to resign his post.[27]
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Prisoner of Azkaban reveals more details about the connection between Snape and James. While in school together, Sirius once tricked Snape into almost entering the Shrieking Shack while Lupin was there, transformed into a werewolf. James realised the danger and stopped Snape, saving his life; this is the incident Dumbledore referred to at the end of the first book. Snape, however, believes James' actions were self-serving, to avoid being expelled.[28]
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Snape's role in the fourth novel, Harry Potter and the Goblet of Fire, is not substantially different from that of the previous three books. He is apoplectic when Harry is unexpectedly entered into the Triwizard Tournament. Later Harry accidentally falls into Dumbledore's Pensieve and views memories of several Death Eater trials from years before. At one point, Snape is named as a Death Eater by Igor Karkaroff, but Dumbledore comes to Snape's defence, claiming that although Snape had indeed been a Death Eater, he changed sides before Voldemort's downfall and turned spy against him. Later, Dumbledore assures Harry that Snape's reformation is genuine, though he refuses to tell Harry how he knows this, saying the information "is a matter between Professor Snape and myself".[29]
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At the end of the book, Dumbledore attempts to convince a disbelieving Minister for Magic, Cornelius Fudge, that Voldemort has returned. As proof, Snape willingly shows Fudge the restored Dark Mark on his arm. He is subsequently sent on a secret mission by Dumbledore. This mission, as had been implied in Harry Potter and the Order of the Phoenix and revealed in Harry Potter and the Half-Blood Prince, was to rejoin the Death Eaters and spy on Voldemort as a re-doubled agent, while pretending to spy on Dumbledore on behalf of Voldemort.
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In the fifth novel, Harry Potter and the Order of the Phoenix, Snape returns to a more prominent role. With Voldemort having returned to a fully corporeal body, Snape continues working as a re-doubled agent for Dumbledore.[30] He is seen prior to the start of school at Number 12, Grimmauld Place giving reports to the Order of the Phoenix.[31] He has a very strained relationship with Sirius, who owns Grimmauld Place and must remain there in hiding. The two trade frequent snide remarks and at one point almost begin a duel. Snape taunts Sirius about the latter's not being able to take an active role in the Order's missions because of his fugitive status. Harry feels later that this taunting contributed to Sirius' willingness to take unsafe risks.[32] Back at school, Snape's allegiance to the Order has no effect on his dislike for Harry.
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Later in the book, Dumbledore has Snape teach Harry Occlumency, the protection of the mind from outside intrusion or influence.[32] The sessions are made difficult by their mutual hostility and end prematurely when Harry uses Dumbledore's Pensieve to view one of Snape's worst childhood memories without the latter's permission. He sees the memory of Snape being bullied by James and Sirius, and of calling Harry's mother Lily a Mudblood (a highly offensive term).[26] Only in the final book is it revealed that, prior to this confrontation, Snape and Lily had been close friends.
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Towards the end of the novel, Dolores Umbridge – the school's politically appointed headmistress – captures Harry and interrogates him about Dumbledore's whereabouts. She sends for Snape, demanding that he provide the magical truth serum Veritaserum in order to force Harry to reveal any information he may be hiding. Snape claims that his supplies of the serum have been exhausted after Umbridge tries to use the drug previously on Harry. It is later revealed that Snape had in fact supplied Umbridge with fake Veritaserum on the prior attempt. Snape then carries Harry's cryptic warning about Sirius' capture to the other Order members, allowing them to come to the rescue in the Department of Mysteries.[33] Harry still holds Snape partly responsible for Sirius' death, believing Snape's goading spurred Sirius into joining the battle.
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In the second chapter of Harry Potter and the Half-Blood Prince, Bellatrix Lestrange and Narcissa Malfoy visit Snape at his home in Spinner's End. Narcissa's son Draco has been given a difficult task by Voldemort, and Narcissa swears Snape to an Unbreakable Vow that he will protect Draco, help him complete Voldemort's task, and finish the task himself if Draco fails. When questioned by Bellatrix about his loyalties, Snape says he has been working for Voldemort ever since Voldemort's return, and explains his actions in the previous books in that light. He points out that gaining Dumbledore's trust and protection has kept him out of Azkaban and free to operate on Voldemort's behalf.[34]
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At the start-of-term feast at Hogwarts, Dumbledore announces Snape as the new Defence Against the Dark Arts professor. Horace Slughorn, a former teacher who himself had taught Snape during his Hogwarts years, comes out of retirement and replaces him as Potions Master. With Snape no longer teaching Potions, Harry enrolls in Slughorn's class and is lent an old textbook until his new one arrives. Harry finds marginalia, including a variety of hexes and jinxes seemingly invented by an unknown student, and substantial improvements to the book's standard potion-making instructions. The text is inscribed as being "the Property of the Half-Blood Prince". The notes greatly bolster Harry's performance in Potions, so much so that he impresses Slughorn. Snape, who maintains that he "never had the impression that [he] had been able to teach Potter anything at all", is suspicious of Harry's newfound Potions success.[35]
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Later, during a fight with Draco, Harry casts one of the Prince's spells marked "For Enemies," and is horrified by the devastating wounds it inflicts to Draco's face and chest. Snape rushes to the scene and heals Draco, then interrogates Harry regarding the spell, using Legilimency to extract the source of Harry's knowledge (the Potions textbook) from Harry's mind. When Snape insists that Harry show him his Potions textbook, Harry hides the Prince's book and gives him Ron Weasley's book instead. As punishment for the attack and knowing Harry is lying about the textbook, Snape assigns Harry detention during the final Quidditch match of the year.[36]
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Before leaving Hogwarts to accompany Dumbledore in locating another horcrux – part of Voldemort's soul – Harry discovers from Professor Trelawney that it was Snape who overheard the prophecy and told it to Voldemort, resulting in Voldemort hunting down Harry and his parents. Despite this and Harry's angry questions, Dumbledore avers his trust in Snape. Returning to Hogwarts after retrieving Voldemort's Horcrux, Harry and Dumbledore alight atop the school's astronomy tower. Gravely weakened by the horcrux's protective potion, Dumbledore tells Harry he must fetch Snape, but before Harry can leave, Draco suddenly arrives, intending to carry out Voldemort's order to assassinate Dumbledore, closely followed by other Death Eaters (followers of Voldemort), and Snape. Snape interrupts the planned murder, killing the headmaster himself.[37] Harry, who is paralysed under his invisibility cloak by Dumbledore for his own protection, witnesses the kill, and is released upon Dumbledore's death. Enraged, he pursues Snape, Draco, and the Death Eaters as they flee the castle. Snape easily blocks Harry's spells and jeeringly points out Harry's mistakes, but never strikes back. During the confrontation, Snape reveals himself as the eponymous "Half-Blood Prince" (being the half-blood son of Muggle Tobias Snape and pure-blood Eileen Prince). Snape passes through the school gates and Disapparates with Draco in tow at the book's end.[38] The full relationship between Dumbledore and Snape and the reason for Snape's actions remain unknown until the final book. In an interview, Rowling mentioned that at this point in the series, the Harry–Snape relationship has become "as personal, if not more so, than Harry–Voldemort."[39]
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In Harry Potter and the Deathly Hallows, Voldemort and his Death Eaters have tightened their grip on the wizarding world. Snape is named Headmaster of Hogwarts, while Death Eaters Alecto and Amycus Carrow are appointed as Hogwarts staff. The novel focuses largely on Harry and his friends and events outside the school; therefore Snape plays a limited role at the start. In the course of the book, Harry and his friends find out that a few students attempted to steal the Sword of Godric Gryffindor, and that Snape subsequently sent it to be stored at Gringotts Wizarding Bank; however, that sword was only a copy. Later on, Harry and Ron are led to find the real sword by a Patronus taking the form of a doe.[40] (Towards the end of the book, Harry learns that this was Snape's Patronus, taking the same shape as Harry's mother Lily's Patronus, a visible sign of his lifelong love for Harry's mother, and that Dumbledore had asked Snape to ensure that Harry gained possession of the sword.[41] The novel also reveals that Snape had covertly used his position as Headmaster to protect the students and to contain the Carrows.[41])
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Towards the end of the school year, Professors McGonagall, Flitwick, and Sprout force Snape to flee the school.[42] Voldemort summons Snape to the Shrieking Shack. Erroneously believing Snape is the master of the Elder Wand and that Snape's death will make him the master of the Wand, Voldemort kills Snape by having his pet snake Nagini bite him through the neck.[43] The dying Snape releases a cloud of memories and tells Harry, who has watched the entire scene from a hidden spot, to take and view them.
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From these memories, Harry sees Snape's childhood and learns his true loyalties. In this vision, Harry learns that Snape befriended Lily as a child when they lived near each other. Upon their arrival at Hogwarts, the Sorting Hat placed Snape and Lily into Slytherin and Gryffindor Houses, respectively. They remained friends for the next few years until they were driven apart by Snape's interest in the Dark Arts; the friendship finally ended following the bullying episode that Harry had briefly seen in the fifth book, in which Snape calls Lily "Mudblood". Despite this separation and Snape's enduring animosity toward Lily's eventual husband James Potter, Snape continued to love Lily for the rest of his life.
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The memories also show that as a Death Eater, Snape had revealed to Voldemort a prophecy made by Sybill Trelawney, causing Voldemort to attempt to prevent it by killing Harry and his parents. Snape, who had not realised until too late that Voldemort had interpreted the prophecy to be referring to Lily and her family (as it could've also referred to the Frank and Alice Longbottom and their son Neville Longbottom), asked Voldemort to spare Lily. Still in terror for her life, he also approached Dumbledore, admitted his actions, and begged him to protect the Potters. Dumbledore chided him for thinking only of himself and not of Lily's husband and child, but agreed and ensured that they were placed under the Fidelius Charm. In return, Snape secretly allied himself with Dumbledore and the Order of the Phoenix as a double agent against Voldemort, using his powers of Occlumency to hide his betrayal from Voldemort. However, Snape demanded of Dumbledore that his love for Lily (his reason for switching sides) be kept a secret, especially from Harry, because of the deep animosity he felt towards Harry's father and his mixed feelings towards Harry (who reminded him of both his love for Lily Potter and her death, and his animosity towards James Potter). Dumbledore agreed and kept the secret throughout his life, although questioning Snape's request to "never reveal the best of you". Even with his efforts to protect her, Snape felt responsible for Lily's death at Voldemort's hands.
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Snape's memories then reveal that Dumbledore had impetuously tried to use the Gaunt ring, which had been cursed by Voldemort, and had been suffering from a powerful curse. Snape's knowledge of the Dark Arts enabled him to slow the spread of the curse from Dumbledore's hand through his body, but he would have died within a year. Dumbledore, aware that Voldemort had ordered Draco to kill him, had asked Snape to kill him instead as a way of sparing the boy's soul and of preventing his own otherwise slow, painful death. Although Snape was reluctant, even asking about the impact of such an action on his own soul, Dumbledore implied that this kind of coup de grâce would not damage a human's soul in the same way murder would.[41] Snape agreed to do as the Headmaster requested. Snape's memories also provide Harry with the information he needs to ensure Voldemort's final defeat, in the form of conversations Snape had with Dumbledore.[41]
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Rowling noted in an interview that because Snape abandoned his post before dying or officially retiring, a portrait of him does not immediately appear in the Headmaster's office following his death. She adds, however, that she would like to think Harry made Snape's true loyalty and heroism known in the Wizarding world, and that he lobbied to ensure that a portrait be installed in the office.[44] In a separate interview, Rowling discussed Snape's back story, saying she had planned it ever since she wrote the first book because the whole series is built around it and she considers him one of the most important characters of the seventh book.[18]
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In the epilogue to Deathly Hallows, set nineteen years after Harry defeats Voldemort, Harry has named his second-born son Albus Severus, after Albus Dumbledore and Severus Snape. As Albus is about to enter his first year at Hogwarts, he expresses concern that he will be sorted into Slytherin. Harry tells his son, "you were named for two headmasters of Hogwarts. One of them [Snape] was a Slytherin and he was probably the bravest man I ever knew."[45]
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When Draco and Astoria Greengrass' son Scorpius Malfoy finds himself in an alternate timeline in which Voldemort won the Battle of Hogwarts, killed Harry and his allies and instituted a terrible reign of terror, he desperately searches for help in restoring history to its original course. He finds that in this reality Snape is still alive and still teaches at Hogwarts, and asks for his help. At first Snape is suspicious of him, since this timeline's version of Scorpius is a bully and a Voldemort stalwart. But when Scorpius shows that he knows of Snape having been in love with Lily, Harry's mother – Snape's most closely guarded secret – Snape becomes convinced that he does indeed come from a different timeline where Harry and his friends won. Snape then reveals that he, together with the fugitive Ron and Hermione Granger, maintain the last remnants of Dumbledore's Army – still waging hopeless resistance against the all-powerful Voldemort. In talking with Scorpius, Snape had learned that Harry would name his son "Albus Severus" and would regard Snape as "probably the bravest man I ever knew" – and is deeply moved. Though having guessed that in the other timeline he would die, Snape nevertheless willingly helps Scorpius recreate this timeline – and being discovered by Dementors, Snape sacrifices himself in order to cover Scorpius' escape.
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Severus Snape appears in all eight Harry Potter films,[46] portrayed by British actor Alan Rickman. Rickman was Rowling's personal choice to portray the character.[47] He had conversations with Rowling about his character and is one of the few Harry Potter actors that she spoke to prior to the completion of the book series about the future direction of the character.[48] "He knew very early on that he'd been in love with Lily," said Rowling. "He needed to understand […] where this bitterness towards this boy who's the living example of her preference for another man came from."[49]
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Rickman used this knowledge of Snape's ultimate loyalties throughout the films to decide how to play certain scenes, deliver specific lines, or use body language to convey specific emotions.[50] When the directors of the films would ask him why he was doing a scene a certain way or delivering a line in a specific manner, Rickman would simply reply that he knew something they didn't.[50]
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Rickman himself refrained from talking about Snape, asking readers to wait and "see what unfolds" in the course of the novels; however, he did say Snape is a complicated person, very rigid and full of himself; in an interview he went further, saying: "Snape isn't one who enjoys jokes and I strongly fear that his sense of humour is extremely limited... But in his defence, I will add that he didn't have an easy adolescence, particularly during his studies at Hogwarts."[51] He also said Snape is a fascinating character, and that he takes immense pleasure in playing such an ambiguous person.[52]
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Rickman's performance as Snape was widely acclaimed by critics, fans and Rowling herself. Entertainment Weekly listed Rickman as one of the most popular movie stars in 2007 for his performance as Snape, saying: "As the icy, humourless magic instructor Severus Snape, Rickman may not be on screen long—but he owns every minute."[53] Rickman also noted fans' reactions; in an interview, he said he found "that people in general adore Snape. He is sarcastic, stubborn, etc, etc. But he is also fascinating. I have a lot of fun impersonating him."[52] Rickman was nominated for several awards for his portrayal of Snape, and in 2011, was elected the best character portrayal in all the Harry Potter films series.[54]
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In 2011, Empire magazine published an open letter from Rickman to J.K. Rowling, ruminating on the ten years of working on the Potter films and thanking her for telling the story.[55]
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In Harry Potter and the Order of the Phoenix, the fifteen-year-old Snape (portrayed by Alec Hopkins) makes a brief appearance in a flashback to Snape's youth. In the final film, Harry Potter and the Deathly Hallows – Part 2, the younger Snape, perhaps ten or eleven, is played by Benedict Clarke. In 2016, a fan film prequel, Severus Snape and the Marauders, was released online and Snape was played by Mick Ignis.[56]
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Before Alan Rickman was offered the role of Severus Snape, the role was originally offered to Tim Roth,[57] who turned the role down in favour of portraying General Thade in Planet of the Apes.[58]
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Snape is described as a thin man with sallow skin, a large, hooked nose, and yellow, uneven teeth. He has shoulder-length, greasy black hair which frames his face, and cold, black eyes. He wears black, flowing robes which give him the appearance of "an overgrown bat".[59] The youthful Snape had a "stringy, pallid look", being "round-shouldered yet angular", having a "twitchy" walk "that recalled a spider" and "long oily hair that jumped about his face".[26]
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In the chapter illustrations by Mary GrandPré in the American editions of The Prisoner of Azkaban, The Order of the Phoenix, and The Half-Blood Prince, Snape is depicted with a moustache and goatee, long black hair, and a receding hairline.
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Snape is generally depicted as being cold, calculating, precise, sarcastic, and bitter. He strongly dislikes Harry and often insults him by insulting his father James. As the series progresses, it is revealed that his treatment of Harry stems from Snape's bitter rivalry with James when they were in school together. In particular, James and Sirius bullied Snape, which according to Alan Rickman caused the already lonely boy to further "shut himself in".[52] Rowling further described the young Snape as insecure and vulnerable: "Given his time over again [Snape] would not have become a Death Eater, but like many insecure, vulnerable people he craved membership of something big and powerful, something impressive.[...] [He] was so blinded by his attraction to the dark side he thought [Lily] would find him impressive if he became a real Death Eater."[3]
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The adult Snape, on the other hand, is portrayed as very self-assured and confident of his abilities, to a degree that Rickman described as "full of himself."[51] Director David Yates said Snape is a character with gravitas, authority and power.[60] Snape typically displays a very calm and collected demeanour, rarely at a loss for words or taken off guard. His temper, however, is sometimes short where Harry is concerned and positively flares when dealing with his erstwhile tormentor Sirius, or when accused of cowardice. His otherwise impassive and aloof attitude seems to stem from his belief that people who cannot control their emotions are weak.[32]
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Like some other prominent members of Slytherin house, Snape is shown to be a clever and cunning wizard.[43][61] He is intelligent and has a keen, analytical mind. In an interview, Rowling adds that Snape is immensely brave,[20] and when asked if she considers Snape a hero, replied: "Yes, I do; though a very flawed hero. An anti-hero, perhaps. He is not a particularly likeable man in many ways. He remains rather cruel, a bully, riddled with bitterness and insecurity—and yet he loved, and showed loyalty to that love and, ultimately, laid down his life because of it. That's pretty heroic!"[3]
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All seven novels show Snape to be a very powerful wizard and to have been outstanding while a student. He specialises in potion making and has talent and passion for the Dark Arts. Sirius claimed that Snape knew more hexes and curses as a first-year student at Hogwarts than most seventh-years knew.[61] Particularly gifted in potion making, Snape added major improvements to his Potions textbook while still a student. Also as a student, Snape shows a rare gift for discovering new spells. Lupin describes Sectumsempra as Snape's "speciality" in Deathly Hallows.[62] Snape is shown using this spell as a teenager against Harry's father James[26] and in the aerial battle in the last novel when he accidentally hits George Weasley (acting as a Potter decoy) with it while actually aiming for a Death Eater who was trying to attack Lupin, permanently severing George's right ear. Despite Sectumsempra's deadly power, Snape can also heal the wounds it causes.[36] Snape is adept at reversing or containing potentially fatal damage from other dark curses as well, due to his vast knowledge of Dark Arts, as he does when Dumbledore[41] and then Katie Bell[63] are cursed. Skilful in the arts of Legilimency and especially Occlumency, Snape is able to both access the minds of others and protect his own thoughts—indeed, though Snape does not care for the term himself, Harry forms the uncomfortable impression early in the series that the Potions Master is able to "read minds." Being an Occlumens, Snape is able to keep his betrayal from Voldemort, who is himself described as being "the greatest Legilimens" in history.[34] According to Rowling, Snape is the only Death Eater capable of producing a full Patronus, which, like Lily's, is a doe.[3] Snape is a talented duellist, able to hold off by himself (if only briefly) a group of three Hogwarts professors that included former duelling champion Filius Flitwick. Professor McGonagall later implies that Snape learned to fly without the use of a broom, a rare skill previously displayed only by Voldemort.[42]
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Snape's family background is mostly shown in flashbacks during the course of the last three novels. Snape was born to Eileen Prince, a witch, and Tobias Snape, a Muggle, making him a half-blood (hence the name, "Half-Blood Prince"). This is rare for a Death Eater, as remarked in the last book, though Voldemort himself also had a Muggle father. Snape spent his early childhood living with his parents in a small house in Spinner's End. Snape's family was a poor one and he is described as wearing ill-fitting clothes "that were so mis-matched that it looked deliberate". As a child, Snape was apparently neglected and his parents often fought with one another. Snape was very eager to leave his home to go to Hogwarts.[41] Towards the end of the last novel, Harry draws parallels between his childhood, Snape's, and Voldemort's.[64]
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Snape's true loyalty was one of the most significant questions in the series up until the end of the final instalment, Harry Potter and the Deathly Hallows. Although the first five novels depict him as unfair and vindictive towards Harry and his friends, he invariably ends up protecting or otherwise helping them when they or their allies are in danger. Several characters express doubts about his loyalty, but Dumbledore's trust in him is generally taken to be the final word. The sixth novel, Harry Potter and the Half-Blood Prince, departs from that model. In the second chapter, Snape claims to have been working for Voldemort ever since the latter's return, and only pretending to help Dumbledore.[34] By killing Dumbledore toward the end of the novel, Snape seems to place himself firmly in Voldemort's camp.[37] Rowling maintains this impression through the early chapters of the seventh novel. However, near the climax of the book, Snape leaves Harry his dying thoughts (to be viewed in the Pensieve) and ultimately reveals to Harry that he had been loyal to Albus Dumbledore throughout the series.[41] Snape's fierce devotion to and love of his childhood friend Lily, Harry's mother, is the foundation of that loyalty.[41]
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After Harry Potter and the Half-Blood Prince, Snape's loyalty was a matter of intense debate among the fans. The issue was given special attention in the marketing campaigns on behalf of the last book, Harry Potter and the Deathly Hallows. "Is Snape Good or Evil?" was one of the questions in Scholastic Inc.'s seven-question series, part of its marketing campaign for the book.[65] As part of the Waldenbooks marketing campaign, two free stickers, one that said "Trust Snape" and another that stated "Snape Is A Very Bad Man" were available with the book. Borders Group published a separate book on the topic, The Great Snape Debate, containing essays and arguments from both sides of the debate.[66][67]
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The secretive attitude and gradual unfolding of Snape's character was broadly admired, with Stephen Fry, the UK audio books narrator, saying in 2003: "Most characters like Snape are hard to love but there is a sort of ambiguity—you can't quite decide—something sad about him—lonely and it's fascinating when you think he's going to be the evil one..., then slowly you get this idea he's not so bad after all."[68] David Yates, who directed the final four films of the series, also expressed his views on the character, saying: "A character like Snape, where you're not really sure if he's a good guy or a bad guy, that gives you a latent tension... I think the coolest thing you can do with an audience is deny them a little bit of information."[60] Despite being less than kind, the character quickly gained popularity within fandom to a level that surprised Rowling herself.[8] Joyce Millman suggests in her essay "To Sir with Love" in the book Mapping the World of Harry Potter, that Snape is derived from a tradition of Byronic heroes such as Wuthering Heights' Heathcliff.[69]
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Jenny Sawyer from The Christian Science Monitor commented on the character's development in the series.[70] She claimed that Snape is the only protagonist who genuinely has a choice to make and who struggles to do the right thing, hence the only one to face a "compelling inner crisis". She believed the popularity of the character is due to the moral journey and inner conflict that Snape undergoes within the series, as it is the hero's struggle and costly redemption that really matter: "[Snape's] character ached for resolution. And it is precisely this need for resolution—our desire to know the real Snape and to understand his choices—that makes him the most compelling character in the Potter epic."
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The final revelation of Snape's loyalty in Harry Potter and the Deathly Hallows was viewed positively by fans and critics alike. Daniel Radcliffe, who portrays Harry Potter in the movie series, expressed his delight, saying he was pleased to see that his theory that Snape would end up being a sort of tragic hero came through.[71] Elizabeth Hand from The Washington Post wrote, "The much-maligned loner Snape does not come onstage until the latter part of "Deathly Hallows," but when he does the book becomes his: Snape's fate, more than Voldemort's, perhaps more even than Harry's, is the most heartbreaking, surprising and satisfying of all of Rowling's achievements."[2]
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IGN listed Snape as their 4th top Harry Potter character, saying that he makes "quite an impact in the Harry Potter series",[72] and IGN's Joe Utichi called Snape his favourite Harry Potter character and praised his character development.[73] Shortly after the release of the final film, MTV held a public poll for fans to vote for the best character in the series, and Snape was voted #1.[74] Around the same time, Empire magazine held a public poll for fans to vote for the 25 greatest characters in the series, and Snape once again came in at #1.[75] In May 2011, Snape was again voted as the No. 1 favourite Harry Potter character in a public poll held by the Bloomsbury publishing house.[76]
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The character of Severus Snape has appeared in various animated parodies of Harry Potter. He is a starring character in Neil Cicierega's online Potter Puppet Pals parodies, and has a centric episode titled Bothering Snape. Also, the video The Mysterious Ticking Noise with the chorus "Snape, Snape, Severus Snape" was the winner for "Best Comedy" of the year 2007 at YouTube; it currently has over 170 million views.[77] Snape is also parodied as Professor Santory Snapekin in Sluggy Freelance's webcomic entitled Torg Potter. In the first parody, Torg defeats a plot by Professor Snapekin to achieve ultimate power.[78]
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In a 2004 sketch on Saturday Night Live in which Lindsay Lohan appears as Hermione Granger, Snape is portrayed by Will Forte.[79] Snape has also been parodied in UK television. Comic Relief released a story called Harry Potter and the Secret Chamberpot of Azerbaijan, in which Snape is played by Jeremy Irons.[80][81] Snape appeared in a Harry Potter parody named "Louis Potter and the Philosopher's Scone" in Alistair McGowan's Big Impression show, played by Alistair McGowan himself.[82][83] In the Harry Bladder sketches in All That, Snape appears as Professor Chafe (portrayed by Jeremy Rowley), whose legs were badly chafed, causing him to be unnecessarily mean. Many sketches feature students brewing potions that did silly things, like enlarge students' behinds, give males large breasts, or change people into bras. In a sketch comedy named "Cooking With..." on Australian TV series The Wedge, Snape is played by Anthony Ahern, and catches Harry and Hermione making love.[84] In A Very Potter Musical, Snape is played by actor Joe Moses.
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